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Accion Fraterna BAIF
Water Resources
Management Ltd
Water, Households and Rural
Livelihoods (WHIRL)
Promoting access of the poor to sustainable
water supplies for domestic and productive
uses in areas of water scarcity
Inception report
March 2001
This project is supported by the UK Department for International Development (DFID) through the
Infrastructure and Urban Development Division‟s Knowledge and Research programme. Project R7804
„Integrating drinking water needs in watershed projects‟.
Table of Contents
EXECUTIVE SUMMARY ......................................................................................................................... 1
1 INTRODUCTION ....................................................................................................................................... 2
1.1 BACKGROUND ............................................................................................................................................ 2
2 GOAL, PURPOSE AND OUTPUTS OF THE PROJECT ...................................................................... 3
3 INITIAL FINDINGS ................................................................................................................................... 4
3.1 ACTIVITIES TO DATE .................................................................................................................................. 4
3.1.1 Inception workshop........................................................................................................................... 4
3.1.2 Demand assessment in focus countries for the research: India and South Africa ............................ 5
3.1.3 Demand assessment in other countries: Kenya and Tanzania.......................................................... 7
3.1.4 Development of partnerships with implementation programmes and projects ............................... 10
3.1.5 Planning with partners ................................................................................................................... 12
3.1.6 Other activities ............................................................................................................................... 12
3.2 POVERTY ASSESSMENT............................................................................................................................. 12
3.2.1 India................................................................................................................................................ 12
3.2.2 South Africa .................................................................................................................................... 13
4 PROJECT PLANNING ............................................................................................................................ 14
4.1 IMPLICATIONS OF INITIAL FINDINGS ......................................................................................................... 14
4.2 REVIEW OF PROJECT PURPOSE AND OUTPUTS ........................................................................................... 14
4.3 DESCRIPTION OF PROJECT METHODOLOGY ............................................................................................... 18
4.4 REVIEW OF PROJECT TEAM, PARTNERS/ COLLABORATORS AND RESPONSIBILITIES ................................... 18
4.4.1 Project team .................................................................................................................................... 18
4.4.2 Partners and collaborators............................................................................................................. 19
4.5 PROJECT CYCLE MANAGEMENT ................................................................................................................ 19
4.5.1 Regular project planning, monitoring and evaluation .................................................................... 19
4.5.2 Description of Action, Outputs and Impact Indicators ................................................................... 20
4.6 DISSEMINATION AND UPTAKE STRATEGY ................................................................................................. 23
5 APPENDICES ............................................................................................................................................ 24
APPENDIX 1 SUMMARY OF CONSULTATIONS IN INDIA ....................................................................................... 25
APPENDIX 2 SUMMARY OF CONSULTATIONS IN SOUTH AFRICA ........................................................................ 32
APPENDIX 3 SUMMARY OF INTERVIEWS WITH REGIONAL AND NATIONAL ACTORS IN KENYA ........................... 39
APPENDIX 4 SUMMARY OF INTERVIEWS WITH REGIONAL AND NATIONAL ACTORS IN TANZANIA ...................... 41
APPENDIX 5 REVISED LOGICAL FRAMEWORK.................................................................................................... 46
APPENDIX 6. REVISED WORK PLAN, STAFF INPUTS AND LOCATIONS FOR PROJECT WORK .................................. 51
PROJECT SUMMARY .......................................................................................................................................... 59
Executive summary
Improved access to water supply and sanitation is amongst the most pressing needs of poor people in
all developing countries. Domestic water supplies and environmental sanitation contribute to
livelihoods in a wide range of ways. They are crucial to health and well-being, and can make an
important contribution to food production and income generating activities. But as demand for water
rises due to increasing populations, expansion of irrigated areas, and industrial development, many
parts of the developing world face increasing water scarcity and pollution risks. Continued reliance
upon the traditional approaches to water resources development – such as construction of dams and
exploitation of new aquifers to increase supply – is often no longer an option. Demand management
and improved allocation of existing resources is increasingly recognised as a more sustainable
strategy.
This report describes the inception phase activities carried out between July 2000 and March 2001 for
the collaborative Indo-South African-UK research project „Water, Households and Rural Livelihoods‟
(WHIRL). This project aims to develop and promote improved and more integrated approaches to
address water supply and management problems in areas of water scarcity through collaborative
research between partners and development projects in India and South Africa. The project will
research innovative institutional and operational strategies that bridge the existing gap between water
supply, water resources management at an appropriate scale (e.g. watershed or catchment) and efforts
to improve livelihoods of poor people through improved water supply and associated activities.
During the inception phase, tasks have included the development and modification of the project
design with stakeholders and collaborators, development of partnerships to undertake fieldwork with
appropriate development projects and planning with project partners. Activities have included
consultations and visits in India and South Africa to identify demand and prioritise research issues, an
inception workshop bringing together participants from both countries, and consultations in Kenya
and Tanzania to identify some of the issues associated with uptake of the research findings elsewhere
in sub-Saharan Africa.
The project has been approved and strongly supported by government and appropriate organisations
in both India and South Africa. In India, the project will work closely with the Andhra Pradesh Rural
Livelihoods Project implemented through Andhra Pradesh state-government structures, and World
Bank-supported water supply and sanitation projects. In South Africa, action research will be linked
to the government-supported Save-the-Sand Project being implemented in the Northern Province, and
integrated water resources management initiatives in the region by the Department of Water Affairs
and Forestry. South-south collaboration and development of local research capacity through the
research are considered to be a key element of the project, and will be facilitated through regular study
visits, exchanges and workshops.
The full project team is now in place to undertake the research and activities are well underway in
both India and South Africa. In India, work in Andhra Pradesh is being carried out with the NGO
Accion Fraterna, building upon the assessment and planning activities of the Andhra Pradesh Rural
Livelihoods Project and a major workshop is planned for 5-14 May 2001. In South Africa, research
activities are being led by the Association of Water and Rural Development, working with local
partners and the Department for Water Affairs and Forestry. Local inputs are supported by multi-
disciplinary inputs from the Natural Resources Institute, University of Leeds and Water Resources
Management Limited.
1
1 Introduction
This report describes the inception phase activities carried out under Project R7804 „Integrating
drinking water needs in watershed projects‟ between July 2000 and March 2001. A new long title that
reflects the project activities is subsequently used throughout this document:
Water, Households and Rural Livelihoods (WHIRL): Promoting access of the poor to sustainable
water supplies for domestic and productive uses in areas of water scarcity
The inception phase activities of the project aimed to meet the following milestones:
acceptance of the project by key stakeholders, and sense of ownership developed among
collaborators, key government departments and target institutions (especially NGOs), leading to
an agreed logical framework and working principles.
project linkages developed and sites selected for fieldwork.
full project team in place.
This inception report was originally to have been completed by 31 December 2000. However,
submission was postponed owing to delays in the issuing of revised contracts and illness of a key staff
member. Submission of an agreed report was further delayed to provide additional time requested by
the South African Department of Water Affairs and Forestry for internal consultations.
1.1 Background
India and South Africa were identified as target countries for this research because:
similar problems are faced in dryland areas in the two countries (e.g. there is increasing
competition for scarce water resources).
there is an urgent need to address water supply and sanitation (WSS) issues as part of any strategy
to alleviate poverty in both countries.
complementarities exist between experiences and approaches in India and South Africa. These
include: strengths in local-level rural development and long experience of watershed development
in India, and new legal and regulatory frameworks and experience of effective management of
water resources at the catchment scale in South Africa.
The project aims to:
to compare and contrast approaches to water supply (especially water resource aspects) and
watershed or catchment management being adopted in India and South Africa,
to focus on identifying which approaches work and why in a realistic and critical manner through
participatory action research,
to facilitate south-south interactions, joint learning, knowledge generation and research capacity
building through the research.
Work is based upon 4 components:
Inception phase
Review component
Action research phase
Development and dissemination of planning tools and guidelines
2
The action research will be carried out in collaboration with large development-orientated projects in
India and South Africa. Partnerships with these projects provide a number of advantages: additional
capacity, infrastructure and a means of scaling up successful findings for example.
2 Goal, purpose and outputs of the project
The goal of the project is improved water resources management.
The project aims to contribute to improving water resources management in support of the livelihoods
of poor people. Improved access to water is amongst the most pressing needs of poor people in most
developing countries. Basic levels of water supply are crucial to health and well-being, and productive
uses of water make an essential contribution to food security and income generating activities.
As demand for water rises due to increasing populations, expansion of irrigated areas, and industrial
development, many parts of the developing world face increasing water scarcity. Continued reliance
upon the traditional approaches to water resources development – such as construction of dams and
exploitation of new aquifers to increase supply – is often no longer an option. Demand management
and improved allocation of existing resources is increasingly recognised as a more sustainable
strategy.
The need for a new approach is reflected in the increasing adoption of Integrated Water Resources
Management (IWRM) principles as a guiding framework. IWRM embraces the integrated
management of land and all aspects of the water cycle for the sustainable benefit of humans and the
environment. In Vision 21 the water and sanitation community signalled acceptance of the IWRM
paradigm while asserting that access to an essential minimum (quantity and quality) is a fundamental
right. As competing uses of water reduce the availability or quality of resources, and raise the cost of
future provision of water services, it is increasingly important that the WSS sector play a more active
role in IWRM.
The purpose of the project is ‘better institutional and operational solutions for water resources
management adopted that promote improved access of the rural poor to safe water supplies for
consumptive and productive use’.
The project will identify, assess and promote innovative institutional and operational strategies to
increase WSS involvement in IWRM. During the inception phase of the project, the resource team
sought to confirm:
the assumption that developing institutional capacities to operationalise better water resources
management is the most pressing need rather than for example, a shortage of technical solutions
the proposed focus on rural rather than urban areas
the need to focus on productive uses of water as well water supplies for consumptive uses (or
basic domestic needs).
Three outputs were identified. Key issues to be addressed during the inception phase in relation to the
outputs are summarised below:
Output 1. Assessment of mechanisms, in water-stressed areas (quantity and quality) with competition for water
between multiple uses, to promote more sustainable and equitable access for the rural poor to water supplies
for consumptive (drinking and other domestic uses) and productive use (inc. small-scale irrigation, livestock,
SMEs).
Output 2. Key findings from pilot case studies of outcomes of more integrated and stakeholder-driven
management interventions, and synthesis of piloted methodologies for the development of interventions
3
to identify locations for participatory action research
to develop partnerships with development projects
Output 3. Demand-led planning tools developed, validated and disseminated with guidelines for use that
promote and support, in appropriate circumstances, the integration of rural water supply and environmental
sanitation with watershed development and management
to identify target institutions, interests and needs in relation to WSS and IWRM
to initiate development of a dissemination strategy at an early stage in the project cycle
3 Initial findings
3.1 Activities to date
Inception phase activities have focused on consultations and workshops that have sought to further
establish the demand for the research and prioritise key research issues, and build partnerships to
undertake the work within an appropriate institutional framework. This section describes the main
activities that have been undertaken to date including:
an inception workshop,
consultations and workshops to assess key research issues and needs in India, South Africa,
Kenya and Tanzania,
development of partnerships focused on the implementation of participatory action research and
dissemination of research findings,
project planning including the finalisation of the detailed work programme and agreement of sub-
contracts with research partners,
commencement of reviews focused on South Africa, India and experiences elsewhere,
and initial development of tools and guidelines.
3.1.1 Inception workshop
An inception workshop was held from 12-15 September 2000 and brought together South African,
Indian and UK researchers for the first time as part of the project. The purpose of the inception
workshop was to agree and refine the project work programme with a common understanding of the
research issues and the collaborative research process, and to provide an initial opportunity for
preliminary validation by some key stakeholders. The workshop involved participants from the
Association for Water and Rural Development (AWARD, South Africa), BAIF Development
Research Foundation (India), the Natural Resources Institute (NRI, UK), the University of Leeds
(UK), Water Resources Management Ltd (UK) and the Department for Water Affairs and Forestry
(DWAF, South Africa). It was held over 4 days and comprised:
Day 1 - Introduction
Day 2 - Field visits in the Sand River Catchment, Northern Province and reflections
Day 3 - Working papers and presentations from South Africa by AWARD and DWAF, and
on India by BAIF. Refinement of research project objectives.
Day 4 - Detailed project planning, focusing on the inception phase of the project.
The main outcomes of the workshop were:
familiarisation and appreciation of the team with issues in India and South Africa, and use of a
„common language‟
4
agreed and refined project design and work programme, and collaborative research process (i.e.
management, communication issues etc.)
agreed methodologies for stakeholder assessments in South Africa and India and other SSA/south
Asian countries
agreed methodologies for assessment of demand for research and identification of promotion
pathways in South Africa and India, and other SSA/south Asian countries
shortlist of other SSA/south Asian countries for limited project activities
agreed criteria for selection of sites in India, and shortlist
Outcomes of the workshop have been incorporated in this inception report (a separate internal report
of the inception workshop including working papers on South Africa and India is available). One
important outcome was agreement that action research in India should focus on the state of Andhra
Pradesh. It was agreed that the project should seek to work in partnership with the Andhra Pradesh
Rural Livelihoods Project (APRLP) during the action research phase, but should also include review
work based upon grassroots experience of watershed development, water management and water
supply by BAIF in different states. An action plan was developed for the inception phase of the
project leading into reviews and the action research.
3.1.2 Demand assessment in focus countries for the research: India and South
Africa
The purpose of demand assessments in India and South Africa was to identify and prioritise research
issues with the participation of key target institutions such as local government and government line
ministries, and to initiate development of a dissemination strategy for the research findings.
India
In November 2000, consultations were held with various organisations in Andhra Pradesh to discuss
the proposed research issues and potential for developing linkages between the research and the
Andhra Pradesh Rural Livelihoods Project (APRLP). A summary of the issues discussed is included
in Appendix 1. It was the consensus of the persons consulted that:
water supply problems relating to poor management of water resources are a major issue in
southern Andhra Pradesh especially during the summer season and droughts,
there is a need for research into how water resources can be better allocated and managed and
water supplies protected,
there is a need for an improved understanding of how watershed development interventions may
be better targeted to maximise the positive impacts on drinking water supplies and minimise
negative impacts e.g. through increased irrigation,
there would be mutual benefits to be gained by linking the KaR project research with APRLP
activities.
Participatory action research in Andhra Pradesh will build upon baseline studies currently being
carried out under the APRLP. Two participatory methodologies are being used: water resource audits
and WSP‟s methodology for participatory assessment (MPA). The outcomes of these studies will be
utilized to identify specific catchments and communities for the action research phase activities, and
will be discussed at a workshop to be held in Andhra Pradesh from 5-14 May 2001 (see
announcement included in Appendix 1).
Members of the research team also discussed the research with the Water and Sanitation Programme –
South Asia (WSP-SA). WSP-SA expressed strong interest in collaboration and utlisation of the
research outputs in support of a new Government of India rural water supply and sanitation
programme (see summary and letter in Appendix 1).
5
South Africa
Prior to the inception workshop held in September, initial consultations and correspondence with key
organisations included DFID-SA, and the Department of Water and Forestry (DWAF). In July, a
presentation on the proposed research was given to the Save-the-Sand Project (SSP) steering
committee meeting. It was agreed that activities fitted well with the SSP activities and that the action
research should be carried out in collaboration.
Follow-up demand assessment activities in South Africa were unfortunately delayed due to illness and
pressures on staff at AWARD. To avoid further delays, the methodology was modified and an
intensive series of meetings and workshops was held during the period 5-12 February 2001. This
process included:
a two-day workshop with AWARD staff focused on prioritisation of possible research themes in
the Sand River Catchment,
a meeting with DWAF regional staff in Mpumulanga and a one-day workshop at DWAF, Pretoria
to present and discuss the proposed research focus, to discuss the possible role of DWAF and
other organisations, and a dissemination strategy for the project.
follow-up meetings with the Strategic Environmental Assessment team at DWAF and the Mvula
Trust.
The workshop at AWARD drew upon the outcomes of the earlier inception workshop, and was
facilitated using a Bayesian Network1 to grasp the complex interrelationships between livelihoods,
water supply and sanitation, and water resources management in the Sand River Catchment (SRC).
Use of this technique was facilitated by the IRC International Water and Sanitation Centre, and
proved to be a powerful tool in capturing the views of this group of stakeholders.
A summary of these meetings and workshops is included in Appendix 2. The major outcome of these
consultations was support for the research in South Africa to focus on two themes:
Theme 1: Promoting productive uses of water - This was agreed as the major theme for a programme
of Participatory Action Research (PAR) in the Sand River Catchment (SRC). The theme will promote
the sustainable use of water for productive purposes from systems or resources that also support
domestic water supply. Project activities under this theme will:
promote the productive use of water and contribute to improved livelihoods through impacts on
food security, and income generating opportunities.
complement current WSS efforts that focus on improving health (through providing access to a
basic level of domestic water supply, sanitation and hygiene awareness) by addressing the
potential of productive uses of water to improve the viability of service provision.
meet a need identified in the Save-the-Sand feasibility study to promote research into the
understanding of the water use and economic potential of small-scale economic activities in the
catchment.
address sustainability issues, especially the risks of conflict and inefficiencies through
unsustainable development. The theme will complement project activities in India, where the
overexploitation of groundwater for productive uses by smallholders has had severe negative
impacts on domestic water supply. It is also suggested that only where productive uses of water
play an important role in peoples livelihoods will the incentives for large-scale participation in
catchment management exist.
1
The use of Bayesian networks for natural resource management has been developed under DFID KaR project
R7137, Integrated planning and management of water resources, led by the UK Centre for Ecology &
Hydrology.
6
The theme will address the use of water for productive purposes from systems or resources that also
support domestic water supply. Initial use of the Bayesian Network based upon the views of AWARD
staff suggests that the most appropriate entry points or areas for intervention include: supporting
catchment management institutions, strengthening local institutions such as local government, water
service providers etc., enhancing community skills and capacity and promoting more equitable
allocation of water resources. PAR will be carried out with communities and institutions in the SRC.
Communities are to be identified following further consultations (including local government) and
baseline surveys.
Work under theme one is intended to contribute the major part of the project in South Africa. In
addition, a second parallel research theme was also agreed.
Theme 2: Emerging lessons from institutional reform in catchment management in South Africa
This second parallel research theme will concentrate on distilling and disseminating emerging lessons
from pilot integrated water resources management projects and the establishment of catchment
management institutions, focusing on integrating the role of WSS in this process. It will particularly
focus on lessons from the Sand/ Nkomati for other catchments and countries elsewhere including
India.
DWAF have expressed strong interest in the research, which they feel, will:
contribute to the successful implementation of the National Water Act principles of equity,
sustainability and beneficial use,
address the need for better integration and coordination of water services provision and catchment
management,
meet a need to address the role of productive use of water and enhance socio-economic
development.
Follow-up meetings were held with the Mvula Trust and the Strategic Environmental Action team at
DWAF, who are both involved in activities relating to the productive use of water resources. Links
will be maintained with both these initiatives.
3.1.3 Demand assessment in other countries: Kenya and Tanzania
Recognising that South Africa is in many respects a special case with respect to WSS and IWRM in
sub-Saharan Africa – a stronger economy, excellent legislation, and commitment and capacity to
reform institutions in the water sector for example – a series of consultations were planned for Kenya,
Tanzania and Mozambique. These aimed to:
1. identify to what extent WSS is felt to be an issue within wider IWRM frameworks;
2. determine the existing demand for tools to integrate WSS within WRM projects;
3. identify the approaches most likely to be useful in these countries and which experiences from
India or South Africa could most readily be applied.
Consultations in Mozambique unfortunately had to be postponed due to illness of a key (Portuguese
speaking) team member.
This section of the report discusses the main results of a series of visits to national and regional level
actors in the water and sanitation, and water resources management sectors in Kenya and Tanzania. In
Tanzania, consultations were facilitated by Dr Faustin Maganga from the Institute of Resource
Assessment (University of Dar-es-Salaam).
7
Interviews were informal, and sought to introduce the project and its aims and to locate these within
the wider context of regional experiences in water supply and water resource management efforts.
The list of organisations visited is far from exhaustive, and reflects the limited time and resources to
carry out this stage of the work. Nonetheless the results were both interesting and encouraging, and
confirm that the issue of dealing with drinking water (and to a lesser extent sanitation) issues within
larger water resource management efforts is indeed an important issue.
The organisations visited were:
In Kenya The World Bank/UNDP Water and Sanitation Programme (WSP)
African Water Resources management Forum (hosted by WSP)
The Network for Water and Sanitation International (NETWAS)
SIDA‟s Regional Land Management Unit (RELMA)
In Tanzania The Institute of Resource Assessment (IRA) of the University of Dar es Salaam
NETWAS – Tanzania
Ministry of Water (Small towns and Rural water supply and sanitation projects)
Ministry of Water – Water resources division
This section contains a brief summary of the main findings of the demand assessment exercise. A full
list of the people met, and the main points of interviews with each of them can be found in
Appendices 3 & 4.
WSS as an issue within wider IWRM
Respondents in both countries identified areas where conflicts over water resources, and in
particular between domestic and other uses of water existed. In addition the drought experienced
by both countries last year has once again raised the issue of overall resource scarcity.
However, again in both countries, it was also clear that it is only in some specific areas that there
is conflict, and that the conflict is not always between domestic and other uses. For example in
two basin areas in Tanzania (Rufiji and Pangani) the main conflict was perceived as being
between irrigation and hydro-power generation.
In general it seemed that domestic water only becomes an issue in areas (or times) of absolute
water shortage. At least in the perception of most of those interviewed, where water resources are
plentiful – which is perceived to be the case in some areas in both countries - the „small‟ amounts
needed for domestic mean the problem of assuring domestic resources is seen principally of one
of supply provision.
In Tanzania the perception of the problem being principally linked to one of supply development
was particularly strong – presumably due to decades of more or less uninterrupted decline of
systems and service provision.
Also in Tanzania, there was a clear difference in perceptions between those involved in „resource‟
management – who generally saw few conflicts involving domestic supply, and those involved in
„domestic supply‟, who did.
Sanitation generally received low recognition as an element within the broader WSS & IWRM
picture. Where it was mentioned several times was in relation to the uncontrolled development of
shallow wells, particularly in urban settings, where the risk of contamination form sanitary
facilities – particularly pit latrines – was seen as being high.
Likely approaches and foci for tool development
While respondents in both countries agreed on the need for tools to integrated WSS better within
IWRM, there were important differences on where they thought the focus on tool development
should be.
In Kenya there was a general perception that widespread corruption, and lack of government
capacity meant that in the short term at least there was little prospect of efforts that attempted to
8
work through central government being successful. The suggestion here was that the „community
management‟ model of rural water supply was more likely to be successful, building community
water resource management in which NGOs and CBOs taking most of the responsibility.
In Tanzania by way of contrast much of the current focus (including two major World Bank
funded projects) is on developing capacity within government. Respondents repeatedly talked of
the change in function necessary in government – from providers to facilitators in both water
supply and sanitation and water resources management. They saw the crucial tools as being those
that would help government personnel to undertake this shift.
Tanzania already has a basin focussed IWRM programme, currently operational in two pilot
basins. There is a reasonable legislative basis for basin level resource management and an
established system of water rights. Existing pilot schemes are however reliant on donor and
government inputs and as a result it seems unlikely that self-financing water boards would be able
to effectively regulate resource use.
It is worth noting that despite both major Tanzanian projects being World Bank supported there
was little evidence of collaboration between them. There seems to be a strong tendency in
Tanzania to focus on groundwater resources for water supply and sanitation, while the basin
management projects occupy themselves with surface water resources for „irrigation‟ (though the
same water provides the main domestic supply for urban centres), hydro-power, and
„environment‟.
An interesting point that came out of the meetings in Tanzania is that while those working at the
„basin‟ level frequently reported no conflict between domestic and other uses (typically
concentrating on that between „irrigation‟ and hydropower), those looking at management at the
„furrow‟ level (i.e. within irrigation scheme command areas) reported considerable competition
and potential for conflict. The furrow systems are important sources for domestic supply as well
as for irrigation. While the amounts used for livestock and domestic use are small, this use has
important implications for irrigation efficiency because the furrows must be kept flowing to meet
a regular demand.
Conclusions
In conclusion it can be said that while there is a growing awareness of the need to take more account
of domestic water supply within wider resource management programmes – and to apply the
principles of resource management more fully to water supply – this is a new and untested area for
most organisations. In both Tanzania and Kenya current policy remains largely supply-focussed as
far as WSS is concerned, with an emphasis on increasing levels of coverage and improving
sustainability and cost recovery.
Despite the apparent differences between Tanzania and Kenya, however, it seems clear that in both
countries the main source of conflict is over domestic water resources is at the local level. This has
important implications for the development of tools for better integrating WSS and IWRM activities.
NETWAS, a major regional training organisation has identified IWRM as an area where there is a
growing and genuine need for new tools. In Kenya this was primarily seen as being tools for local
level actors, while in Tanzania the greater need was for retraining of national level – government –
staff.
It is clear that tools and approaches will need to be tailored to the realities of these countries – neither
of which have either the legislative base, or the extremes of resource conflict found in India and South
Africa. Several respondents mentioned the disparity in terms of South Africa‟s relative wealth,
legislative sophistication, and regulatory ability when compared to their own.
9
3.1.4 Development of partnerships with implementation programmes and projects
A major effort during the inception has been to establish partnerships with implementation projects
and target institutions in India and South Africa. Such linkages are felt to be important in order:
to facilitate the implementation of participatory action research (PAR) within the context of
implementation projects able to act upon research findings and outcomes,
enhance potential of uptake of the research findings by involving target institutions, and
to ensure that the research contributes to develop of in-country institutional capacity.
India
In India, the project has established links to support the Andhra Pradesh Rural Livelihoods Project
(APRLP), as well as the collaborative research (as part of the review component of the project)
focused on watershed development projects underway by BAIF in other states. The APRLP project
operates in areas of southern Andhra Pradesh (A.P) where competition for scarce water resources is
having serious impacts on drinking water supplies, and this has been identified as a priority issue to be
addressed by APRLP. Linkages with APRLP will provide a number of advantages. Most importantly
it will provide a well-defined uptake pathway for research findings, through project activities and
linkages to key persons and organisations involved in water sector reforms in Andhra Pradesh. To
support this collaboration, additional partners working with APRLP will participate and make
contributions to the research within the existing budget. This includes commissioned inputs from Dr
A.J. James (an Indian natural resource economist with extensive experience in WSS and watershed
development) and the NGO Accion Fraterna (part of the Rural Development Trust, RDT) that
operates in southern part of the state. Accion Fraterna will also contribute some human resources from
their own resources.
Linkages have been established with the Policy Research Programme project led by the University of
Leeds that includes research on water policy in Andhra Pradesh.
Firm interest in the research has also been shown by the World Bank WSP-SA with a request received
to support WSP-SA supported projects in Andhra Pradesh that are aiming to pilot WSS schemes with
integrated measures to promote source sustainability through watershed development and local water
management. This will provide an additional opportunity for the research to work with a development
project with considerable potential impact, as well as the DFID-funded APRLP project in the same
state. Opportunities for collaboration including joint studies/research, workshops, other 'knowledge
products', piloting and networking.
South Africa
In South Africa, the project will work with the Department of Water Affairs and Forestry (DWAF),
and in partnership with the Save-the-Sand project, an integrated catchment management/ landcare
initiative involving cross-sectoral partners. Linkages are now in place to undertake the action research
in the Sand River Catchment, Northern Province, in co-ordination with this project.
Participation of DWAF will encompass both Head Office and the Regional Office involvement. The
regional offices (Pietersburg, Northern Province and Nelspruit, Mpumulanga) will be involved in
direct involvement in the project implementation whereas involvement with regards to policy
development and overall guidance of the project will be co-ordinated by Head office. This will
involve several Directorates (Catchment Management, Water Conservation and Water Services). The
level of involvement will depend on the availability of staff in the Regional and Head office.
However, at both levels DWAF have expressed strong support to be involved in the research from the
outset, rather than being merely seen as a target for findings:
….The regional office of the Department of Water Affairs and Forestry is in full support of this
research project based on the understanding that some members of staff will be actively involved in
10
the implementation of the project. This will provide an opportunity for the department to have first
hand information for some of the issues involved in water resources management activities at
localised levels, which would also be helpful when it comes to implementing some sections of the
National Water Act. It would also be a learning process for DWAF staff in terms of implementing
projects in the regions…. (Washington Tunha, DWAF regional Office, Northern Province 12 March
2001)
Other partnerships
Linkages have also been developed with the IRC International Water and Sanitation Centre
(Netherlands) programme in Community Integrated Water Resources Management. Dr Patrick
Moriarty assisted the inception phase for this project, drawing upon expertise developed through an
earlier IRC multi-country study on IWRM and the WSS sector. IRC wish to maintain links with the
research project as part of a programme of research on water resources issues, and in particular will
provide a useful dissemination pathway for research outputs. The following points summarise
discussions on this theme with Patrick Moriarty.
IRC facilitates the creation, sharing and use of knowledge so that sector staff and organisations
can better support poor men, women and children in developing countries to obtain water and
sanitation services they will use and can sustain. IRC has three main objectives in achieving this
mission: to facilitate the sharing and use of quality sector knowledge; to improve the information
and knowledge base of the water and sanitation sector; to strengthen sector resource centres in the
South
IRC is currently developing a project looking at the tools and approaches that will lead to the
fuller integration of poor peoples water needs - both productive and domestic into water resource
management plans at the catchment or watershed level.
Currently the water based needs of the rural poor tend to get lost somewhere between the
domestic water supply focus of conventional WATSAN projects, and the large, irrigation and
industry focussed catchment management plans of water resource agencies.
The use of water by the rural poor seldom figures in the larger catchment level water allocation
schemes of water authorities, or catchment councils. It is largely invisible - being both too
dispersed, and individually small scale to merit inclusion. However, there is growing evidence
from around the world that once rural people start to use water resources for small scale
productive use, particularly micro-irrigation, their combined share rapidly becomes a large part of
the total available resource, and conflict is often quick to follow. The case of groundwater mining
in India is probably the best known example, but local level conflict over resources is growing
alarmingly elsewhere.
Several 'shibboleths' underlie the current approach to catchment or watershed management in
much of the developing world. Many of these are drawn from a northern/temperate understanding
of water resources, and hydrological systems and do not stand careful scrutiny. Perhaps the most
important is the assumption that ground and surface water form part of a single resource at the
catchment scale. In fact in semi-arid regions, the two systems are often largely disconnected, with
groundwater resources themselves being highly fragmented and variable across a catchment. This
often means that both conflict, and its resolution are far more localised affairs than the 'basin
level' so popular with resource planners.
The current focus on watershed management to augment supply is probably misguided. The
amount of extra water that can be made available by such approaches is minimal and frequently
difficult to quantify. This supply side approach should be modified in favour of one that focuses
on demand management, and local allocation.
11
It is IRCs belief that initially at least the switch in focus to promoting the use of water resources as
part of household and community food security should come from the WATSAN sector. Project
planners and implementers need to broaden their focus to take account of all uses of water, and where
necessary to develop innovative sources to meet demand. IRC hope over the next four to five years to
develop a number of participatory research projects to identify and develop the tools necessary to
allow this change in emphasis. Much of the technical knowledge already exists, the challenge is
therefore to identify institutional models and capacity necessary to facilitate the change in approach.
Local level tools for resource estimation and monitoring, for developing mixed use schemes using
multiple sources, for using revenue from productive uses to underpin improved service levels within a
DRA framework, and where necessary for helping to resolve conflict over competing uses of water
are all needed.
3.1.5 Planning with partners
In addition to the activities described above, planning with partners has included the agreement of
sub-contracts to undertake research activities, development of a revised workplan (see section 4.3)
and preparation for a workshop in May 2001.
Contracts are now place between all the organisations and individuals in the research team, except
Accion Fraterna where involvement is has been agreed in principle but the sub-contract is still in
preparation.
A collaborative workshop to be held in Andhra Pradesh from 5-14 May 2001 is in preparation,
and a first announcement is included in Appendix 1.
3.1.6 Other activities
Other activities have included:
Drafting of a paper with a working title „Water Supply and Sanitation & Integrated Water
Resources Management: why seek better integration?‟ which is in preparation.
Documentation of a „Methodology for Water Resource Audits‟ as part of the development of tools
and guidelines.
Design of a project web-site http://www.nri.org/WSS-IWRM (still under construction).
3.2 Poverty assessment
This section includes a summary of some key indicators of poverty in the study areas.
3.2.1 India
The rural population in India is diverse, dispersed by region, caste, and occupational categories.
Landless and near landless households, comprising a disproportionate number of scheduled castes,
and often accounting for more than 40% of agricultural households, are key indicators of poverty.
The social indicators in Andhra Pradesh suggest high levels of poverty along a number of dimensions.
Population density in the state is approximately 242 people per square kilometre. About 30% of the
state‟s population of 73 million people
Andhra Pradesh
live below the poverty line. The figure in
the rural areas, accounting for
Population density 232 people/km 2
approximately 70% of the population, is
Infant mortality 73 per 1000 live births
much higher, due in part to chronic under-
Male literacy 44%, Female literacy at 33%
12
employment and low returns to agriculture. Around 70% of the cultivated area is rain-fed, but rainfall
is erratic and much of the region is drought prone. 30% of children under age 6 are malnourished; and
infant mortality is 73 per 1000 live births. Across the state, estimates suggest that 55% of households
have access to safe water. However drinking water coverage statistics can be misleading, they do not
take account of the fact that pumps are often inoperative, or wells run dry during the summer. Within
the rural areas less than 6% of the population has access both to safe drinking water and toilet
facilities.
Although the proportion of children in the state attending primary school is similar to the average for
the whole of the country (approximately 69% for boys and 59% for girls), literacy in the state is much
lower. Male literacy (over 15 years) is approximately 44% and female literacy at 33% is one of the
lowest in the country. The school drop out rate is also high, approximately 50% in primary schools,
and particularly high for girls, scheduled castes, and scheduled tribes.
3.2.2 South Africa
The Sand River Catchment is characterised by high population densities (176 people per square
kilometre), high population growth rates (2.4% per year) and in the ex-homeland areas squeezed into
the middle reaches of the catchment and where most of the population live, a diminishing and
degraded natural resource base. In 1998, the population of the SRSC was estimated as 336 638
people. People live in three small towns and almost 100 villages. Due to population growth many
villages have become inter-linked providing a peri-urban effect. The average household size is 6.2
persons.
Opportunities for local formal employment and subsistence agriculture are scarce and the recent
economic downturn has reduced even further opportunities for formal employment. Monthly
household income varies from R178 to R1138 p.m. ($25 to $ 170 p.m.). Unemployment is estimated
to be between 40% and 80% throughout the catchment and most families rely on male migration for
income. It is estimated that approximately 50% of males and 14% of women between the ages of 25
and 59 are migrant workers. Not surprisingly, wage remittances and pensions provide the primary
source of income for
Sand River Catchment, South Africa households and the sex
ratio (males to females)
Population: 336 638 people with a 2.4% growth rate
is 0.48:1 in this age
Average density : 176 people km
2
bracket. These are low
Formal unemployment is between 40% and 80%,
Large of proportion of single headed households
and thus most
HIV/AIDS is having a serious impact (estimated at 25%).
households employ
Male literacy 70%, female literacy 63% multiple strategies to
sustain themselves. This
includes harvesting of natural resources (for trade or consumptive use), cattle and so-called “informal”
activities or, rather, small-scale businesses. Nonetheless, opportunities are limited by access to water.
Where this is available, activities include brick-making, hair salons, small nurseries and the like.
Women tend to be marginalised from political life and formal economic activities. Domestic violence
is common.
Chronic and severe shortages have left much of the population in the greater Bushbuckridge area
without access to adequate, safe water supplies. Many former Mozambique refugees also reside in the
catchment. Many of these people, though well integrated, are particularly vulnerable, unable to secure
legal employment, and living in temporary settlements without basic infrastructure such as water
supply and electricity.
Average literacy in the local is 66% (70% for men and 63% for women). Although over 90% of
children attend primary school this figure falls to 46% for secondary education (of whom only 6%
matriculate), and 3% for tertiary education. Moreover, the teacher-pupil ratio is low; between 1:55
13
and 1:119. Women play an important economic and social role. Their responsibilities include water
and fuelwood collection, the running of household gardens and the sale of any surplus. Women also
head approximately 30% of households with children. However, despite their key role, women tend to
be marginalised from political life.
4 Project planning
4.1 Implications of initial findings
The initial findings of the study have confirmed the interest of a broad range of target institutions in
India, South Africa and elsewhere in the research issues. The proposed focus areas for the research in
the Sand River Catchment and southern Andhra Pradesh are both areas where the project will meet
local needs to improve water resources management for the benefit of domestic users and small-scale
economic activities.
4.2 Review of project purpose and outputs
A review of the project purpose and outputs is shown in the output to propose review form.
14
OUTPUT TO PURPOSE SUMMARY FORM
Title: Improved water resources management Country: India, South Africa MISCODE:
Report No. Date: 16 February Project start date: 1 July 2000 Stage of project: Inception phase
2001 Project end date: 31 March 2004
Project framework
Goal statement: Improved water resources management
Purpose statement: Better institutional and operational solutions for water resources management adopted that promote improved access of the rural
poor to safe water supplies for consumptive and productive use.
Outputs: OVIs: Progress: Recommendations/actions: Rating:
1. Assessment of Comprehensive review Working paper in progress. Papers on South African and
existing mechanisms, in capturing worldwide Indian experiences to be
water-stressed areas experience of best- completed by May 2001, for
(quantity and quality) practice and emerging workshop in Andhra Pradesh
with competition for approaches (inc.
water between multiple community-based Intervention options to be
uses, to promote more management, identified through greater
sustainable and regulatory approaches, emphasis on participatory
equitable access for the new institutional research reflecting local
rural poor to water structures and circumstances, than transfer
supplies for economic instruments) of successful approaches
consumptive (drinking by Mar 2001 from elsewhere.
and other domestic
uses) and productive Analysis of policy and Issues addressed in demand assessment and Chapter to be prepared for
use (inc. small-scale institutional conditions consultations. project report.
irrigation, livestock, for uptake by Mar 2001
SMEs).
2. Key findings from Documented outcomes Initial project planning meetings held with NRI, AWARD,
piloting of approaches (hydrological, BAIF and Accion Fraterna
that integrate water institutional, socio-
supply and sanitation economic) of pilot case Linkages developed with Save-the-Sand Project and Need to identify specific
with watershed studies focused on poor Andhra Pradesh Rural Livelihoods Project as basis for communities and locations for
development and communities within 2 implementing participatory action research participatory action research
management, and watersheds in India and based upon further analysis
synthesis of tested 1 in S Africa by Mar Inception meeting held 12-15 September, 2000 and consultations (including
methodologies, 2004 local government), and
15
OUTPUT TO PURPOSE SUMMARY FORM
Title: Improved water resources management Country: India, South Africa MISCODE:
Report No. Date: 16 February Project start date: 1 July 2000 Stage of project: Inception phase
2001 Project end date: 31 March 2004
Project framework
Goal statement: Improved water resources management
Purpose statement: Better institutional and operational solutions for water resources management adopted that promote improved access of the rural
poor to safe water supplies for consumptive and productive use.
Outputs: OVIs: Progress: Recommendations/actions: Rating:
drawing upon APRLP water
Documentation on resources audits and use of
piloting of Methodology for Participatory
methodologies for site Assessment (MPA).
selection, assessment
of resources, issues
and problems
(hydrological,
institutional, socio-
economic), participatory
decision-making,
implementation,
monitoring and
evaluation
Demand assessment in Demand assessed in India, South Africa, Tanzania and To further develop links,
5 countries (inc. S Kenya and some regional organisations consulted in especially with IRC’s training
Africa, & India) and eastern Africa and south Asia, and documented in project and dissemination
identified uptake inception reports. Uptake pathways identified especially programme. To contact
pathways by December through partnerships with implementation projects, and training organisations in
2000. initial contacts with training and dissemination South Africa.
organisations including IRC and NETWAS.
3. Demand-led planning Tools and guidelines Initiated documentation of a methodology for water
tools developed, developed in response resources audits that has proved successful in studies for
validated and to demand, and KAWAD and APRLP projects in India and has potential
disseminated with validated in for wider use.
guidelines for use that collaboration with long-
16
OUTPUT TO PURPOSE SUMMARY FORM
Title: Improved water resources management Country: India, South Africa MISCODE:
Report No. Date: 16 February Project start date: 1 July 2000 Stage of project: Inception phase
2001 Project end date: 31 March 2004
Project framework
Goal statement: Improved water resources management
Purpose statement: Better institutional and operational solutions for water resources management adopted that promote improved access of the rural
poor to safe water supplies for consumptive and productive use.
Outputs: OVIs: Progress: Recommendations/actions: Rating:
promote and support, in term participatory
appropriate watershed development
circumstances, the projects in at least 2
integration of rural watersheds in different
water supply and settings in India and 1
sanitation with in S Africa by March
watershed development 2004.
and management
Dissemination of
tools/guidelines through
identified uptake
pathways in 5 countries
by March 2004
Purpose: OVIs Progress: Recommendations/action
Better institutional and Uptake reflected in
operational solutions for guidelines for
water resources development and
management adopted management of
that promote improved watersheds and RWSS
access of the rural poor in India, S Africa and
to safe water supplies elsewhere, and tools in
for consumptive and use on at least 2 major
productive use. development projects
by Mar 2005
17
4.3 Description of project methodology
Following the inception phase activities, the research is based upon 3 components:
A review component
An action research phase
Development and dissemination of planning tools and guidelines
A revised logical framework for the activities is included in Appendix 5, and a revised workplan, staff
inputs and locations for project work is included at Appendix 6.
Changes proposed to the log-frame are shown in italics and completed activities are shaded.
Highlighted changes include:
recognition of the need to include urban and peri-urban areas. The logframe has been modified
broadening the focus from rural areas to encompass urban and peri-urban locations. The project
locations include areas of high population density in the Sand River Catchment such as the per-
urban sprawl around Thulamahashe, and many large villages/ towns in southern Andhra Pradesh
with populations up to around 10,000 people that have some of the most severe water supply
problems. Urban-rural linkages are a key issue.
4.4 Review of project team, partners/ collaborators and responsibilities
The research will be led by Indian and South African NGOs working with local partners and
supported by local consultants and UK inputs. In India, Accion Fraterna will implement research
activities working closely with APRLP, with BAIF implementing some parallel research as part of the
review component. In South Africa, AWARD will lead research activities working closely with the
SSP.
4.4.1 Project team
Y.V. Malla Reddy will be responsible for Accion Fraterna inputs2. Accion Fraterna will draw upon
field level staff who are already in place and from time-to-time agreed local consultants. BAIF
activities will be led by BK Kakade who has experience of both technical and social aspects of
watershed development, drawing upon field staff and agreed inputs from local consultants.
Sharon Pollard, an environmental specialist and head of AWARD‟s Environmental Support
component will be responsible for AWARD inputs. Sharon has considerable experience of catchment
management and rural development in the Sand River Catchment and is currently the coordinator of
project implementation for the Save-the-Sand Project. Research activities will be undertaken by
Kgopotso Mokgope, a social scientist who has been recruited by AWARD as a Junior Research
Officer to work full-time on the project within the Environmental Support Component. Kgopotso
joined AWARD on 5 February 2001 from the Programme for Land and Agrarian Studies at the
University of the Western Cape where she was involved in participatory research on land reform. As
appropriate, and where agreed with DFID, the research may draw upon the skills and experience of
other AWARD staff, particularly field staff. Progress will be monitored internally and inputs from
2
Accion Fraterna implement the watershed development programme as part of the Rural Development Trust
(RDT), Anantapur.
18
other groups facilitated, through short bi-monthly progress meetings with heads of the environmental
support, community support and institutional support components at AWARD.
John Butterworth, a water resources specialist at NRI will lead UK inputs and is the project
coordinator with overall responsibility on behalf of NRI for the project. To support research in both
India and South Africa, John will be supported by colleagues at NRI and other experienced UK-based
researchers. Sabine Gündel and Jim Hancock are both CBNRM specialists at NRI providing expertise
in social development, participatory approaches and community-level institutions. Sabine or Jim will
support implementation of participatory action research, and monitoring and evaluation. During the
inception phase, Jim Hancock has provided these inputs while Sabine has been on maternity leave.
The balance of these inputs will be reviewed in due course. Elizabeth Robinson, NRI is providing
expertise in institutions and natural resource economics. Charles Batchelor of Water Resources
Management Ltd. is a hydrologist with worldwide experience of participatory watershed management
projects. Charles is providing inputs on water resource audits, and will facilitate linkage of the
research to APRLP priorities. John Soussan is a geographer with broad experience in CBNRM in
Asia and Africa including water resources management, and will focus on supporting policy level
findings from the research. John will facilitate links with the University of Leeds-led Policy Research
Programme project in Andhra Pradesh.
4.4.2 Partners and collaborators
Key partners in both India and South Africa are development projects and local government.
Development of partnerships with implementation projects is discussed in section 3.1.4. The APRLP
in India is being implemented through government structures and includes NGO implementation. The
SSP in South Africa is being implemented by DWAF and the Department of Agriculture. Key
partners here will also include new emerging institutions, the Nkomati Catchment Management
Agency which is under establishment and the newly-formed Eastern District Local Government.
4.5 Project cycle management
4.5.1 Regular project planning, monitoring and evaluation
The key researchers and partners of this research project, to stay firmly focused on delivering useful
results, will regularly monitor what they are doing and review that this results in desired outcomes.
This will then result in a review of plans with a consideration of possible changes, some of which may
need negotiation with DFID and partners. Following the basic principles of this project, it is expected
that planning, monitoring and evaluation (PM&E) will be:
Participatory to the extent possible and efficient. All key stakeholders should have a
chance to influence key decisions. When these decisions are made they should be sign-
posted.
Gathering M&E info to learn (capacity building) what are the best processes and ways of
doing things. Indicators and information on research methods used should be looked at.
Keeping communication simple and user friendly. Maximise website and simple reports
(e.g. summaries) on project progress as tools or dissemination and identifying demand.
There is a fundamental link between planning and M&E. Planning is not a one off activity. The
planning and review cycle, should be a process of refinement of plans and strategies, and indicators of
how to measure changes, at the same time as strengthening and widening the ownership of the project
by the main stakeholders (see figure below). The logframe, while also forming part of an initial
contract with DFID, should also been seen as a dynamic management and communication tool.
19
Objective Detailed
setting and logframe
planning
activities
Managing
and doing
the Project Reporting
Indicators Monitoring
and
Evaluation
Regular and annual project internal reviews will be linked to the preparation of DFID six-monthly
reports due in March and September.
4.5.2 Description of Action, Outputs and Impact Indicators
Bearing in mind the above points on the links between planning and M&E,the logframe can be
elaborated with refined indicators to assist in project management. The members of the project team
have been familiarised with the existing logframe at the workshops and meetings held in South Africa
and India. The purpose of this section is to expand on the development of more detailed indicators
that can be used to measure project progress and how to build these into project review and planning,
depending on local agreements on their applicability. In deciding on the indicators to be used, one
should follow the SMART rules for objectives: specific, measurable, achievable, relevant and time-
bound.
20
Impacts
The desired impact of the project is encapsulated in the 'Goal' and 'Purpose' levels of the project
logframe, together with follow on expected effects on actual indicators of improved well being of the
poor implied in the higher levels of the KaR Research programme logframe (this could be a
'Supergoal' level of this logframe).
While the project goal may be outside the immediate scope of project deliverables, it nevertheless
forms the centre of the vision of what the partners are driving towards, and there should be clear and
measurable ways for measuring if this is being reached. The purpose of the project should be reflected
in measures of its overall achievement (its successful performance).
From present logframe Proposed project planning and management
Narrative Objectively Emerging indicators Planning and M&E
summary verifiable (what) process
indicators (when and who)
Supergoal: As a result of improved IWRM Initially identified through
Improved resulting from project goals amongst situational analysis and PAR.
sustainability of target poor: The PAR will eventually also
livelihoods and Increased income from identify changes, to then be built
wellbeing of the productive water use (crops and into end of project evaluation.
poor livestock, other)
Increased income due to reduced All stakeholders will have a
WSS costs major role and interest in this
Improved health due to improved info:
water provision (reduced Community stakeholders
waterborne diseases in Local, national agencies
particular) Project team
Reduced local water conflicts, as donor
identified by target groups
Goal: As a result of project achievements
Improved water Improved (below):
resources provision of safe Greater water allocations (%
management water supplies for and/or benchmark volumes) to
the consumptive identified need of target rural
and productive poor
activities of the Improved reliability of supplies
rural poor Improved water quality where
identified as critical
More efficient use where critical
Purpose: As identified through demand, and Information identified through:
More effective Uptake reflected subsequent references made: Demand assessment
institutional and in guidelines for Situational analysis
operational development and Changes made in key policies Institutional analysis
solutions for water management of and programmes (Save the Sand Participatory action
resources watersheds and India, DWAF, SA, etc; APRLP research
management WSS in India, S and WSP-SA India).
adopted that Africa and New policies guidelines used by These should offer opportunities
promote improved elsewhere, and existing and emerging institutions for an annual review of these
access of the poor tools in use on at Functional partnerships and indicators by:
to safe water least 2 major agreements developed Community organisation
supplies for development Resources allocated to reps involved in PAR
consumptive and projects by Mar implementing new approaches, Local agencies and national
productive use. 2005 methodologies agencies involved in project
Project team
Donor through annual
report
The nature of guidelines and tools will
be the final outcome of the project. Also wider circulation to
agencies and programmes
identified in demand
assessment, especially at the
end of the project.
21
Outputs
From present logframe Proposed project planning
and management
Narrative Objectively Emerging indicators Planning and M&E
summary verifiable (what) process
(Example) indicators (when and who)
Outputs: Quality of review, to be described, Objectives and indicators at the
1. Assessment of Comprehensive this can form a mutually agreed output level (deliverables) should
existing review capturing terms of reference among partners: be developed in planning the
mechanisms, in world-wide activities to deliver the output, this
water-stressed experience of Comprehensiveness: as to be can be specific workshop or 6-
areas (quantity and best-practice and laid out in proposed outline. monthly meetings, where key
quality) with emerging Expected nature of consultation groups involved in delivering the
competition for approaches (inc. and its outcomes, at local and outputs are involved:
water between community-based global level. Project team members
multiple uses, to management, Factors which will make it useful Local national agency
promote more regulatory for field testing: partner reps
sustainable and approaches, new To focus on existing local PAR target community reps
equitable access institutional processes
for the rural poor to structures and Applicability of transfer to It is largely the concern of the
water supplies for economic other areas project team with the support of
consumptive instruments) by Levels of approaches: the above groups to monitor these
(drinking and other May 2001 local, catchment, national indicators on a short term basis,
domestic uses) and etc again through workshops or 6
productive use (inc. Analysis of policy How will it address monthly meetings.
small-scale and institutional identified demand
irrigation, livestock, conditions for The quality of the outputs will be
SMEs). uptake by May reviewed annually, with donor,
2001 and wider project team group.
Activities
From present logframe Proposed project planning
and management
Narrative Objectively Emerging indicators Planning and M&E
summary verifiable (what) process
(Example) indicators (when and who)
Activities: Quality of Activity: Particularly useful in terms of
1.0 Review and Comprehensive Activity planning should be very short term planning, quarterly or
consultations to review by May output focused, as this gives strong 6-monthly basis.
identify intervention 2001 indicators of proposed quality of
options Consultations activity Detailed activity planning shall be
held by May 2001 devolved as far as possible to
2 workshops held partners within a framework of
in India and S resources and timing.
Africa by Aug Detailed PAR activities will be
2001 planned with:
Project team field
implementers
Community reps
Local agency partners
Overall assessment of activity Annual efficiency review, by:
efficiency, to strengthen project Project team.
management: Donor (?)
Working relationships
Communication
Resources
Partner capacities
Budget and cost
22
4.6 Dissemination and uptake strategy
An outline dissemination strategy has been developed during the inception phase of the project. Key
elements include:
the development of partnerships with implementation projects and programmes, including DFID
bilateral programmes in India, and South Africa.
continuous dissemination via a project website (still under construction) and other appropriate
fora including WEDC water and sanitation conferences, the DFID WATER newsletter and
journals.
development of partnerships and collaborative development of materials with training
organisations including the IRC International Water and Sanitation Centre, a leading information
dissemination and training centre in the WSS sector.
the documentation of practical and replicable approaches and guidelines for better integration of
WSS and IWRM. These will include a series of tools and will be disseminated in an appropriate
format, possibly CD-Rom based.
Appropriate documentation and targeting of policy level findings aimed at influencing policy
development.
23
5 Appendices
Appendix 1 Summary of consultations in India
Appendix 2 Summary of consultations in South Africa
Appendix 3 Summary of interviews with regional and national actors in Kenya
Appendix 4 Summary of interviews with regional and national actors in Tanzania
Appendix 5 Revised logical framework
Appendix 6. Revised work plan, staff inputs and locations for project work
24
Appendix 1 Summary of consultations in India
Andhra Pradesh Rural Livelihoods Project (APRLP)
During the period 16-22 November 2000, John Butterworth (project co-ordinator) and Charles
Batchelor visited various organisations in Andhra Pradesh to discuss the potential for developing
linkages between the research and the Andhra Pradesh Rural Livelihoods Project (APRLP) in India.
The following persons were consulted:
Mr S.P.Tucker (APRLP, Hyderabad)
Dr M.S. Rama Mohan Rao (Head of Station, CSWCRTI, Bellary)
Mr S.Gupta (Project Director, Drought-Prone Areas Programme, Kurnool)
Mr Y.V.Malla Reddy, Accion Fraterna
The project was also discussed with the participants in the APRLP Water Resource Audit (WRA)
planning meeting that was held in the DPAP offices, Kurnool during 20-22 November.
It was the consensus of the persons consulted that there would be mutual benefits to be gained by
linking the KaR project research with APRLP activities. The scope for sharing of experiences
between approaches to water management in the South African and Indian contexts, and lesson-
learning through joint research in both countries was highlighted. It was proposed that the study could
build upon the findings of the WRAs being undertaken initially in two mandals - one each in Kurnool
and Anantapur Districts. Therefore it should be flexible to address the key water supply and sanitation
research issues that emerge from these studies. Potential follow-up work might involve:
In-depth studies (over a full year?) on water availability, use and livelihood impacts. Might
compare 2 towns (e.g. Kalyandurg in Anantapur or similar and Thulamahashe in Northern
Province, South Africa) and/or villages in each country that experience drinking water shortages.
In particular, the project might study the ways in which individual households, communities and
village-level institutions respond to and cope with water shortages. The in-depth studies will also
provide a baseline for evaluating the impact of new policies, legislation etc.
Drawing on ideas or suggestions that might result from the south-south links, the KAR project
could help the APRLP pilot approaches for better water management at the village/mandal level,
focusing on villages with drinking water shortages. These might include fluoride-affected
villages, and areas where groundwater levels are declining with resulting seasonal water shortages
and increased vulnerability to drought. There should be a focus on managing both supply and
demand, and institutional solutions to manage water for different uses.
Development, documentation and synthesis of methodologies and training materials that meet the
needs of APRLP and other watershed development projects.
It is proposed that work at the village/district level could be undertaken with Accion Fraterna and with
key institutions involved in APRLP at the district/state level. The role of the KaR project clearly
should be to provide support and specialist advice. But it must be careful, with limited resources, not
to try and do things that could and should be done by the APRLP. It is understood that good co-
ordination will be necessitated in this regard, and to avoid increasing burdens upon key
DPAP/DDP/NGO staff.
Proposed next steps arising from the various meetings were:
To prepare a paper on water resource management and water supply and sanitation in A.P. to
complement a similar paper already produced for South Africa (by end April 2001).
To organise a collaborative study visit/workshop involving researchers and key institutions from
South Africa and India during May 2001 (announcement attached). The workshop would aim to
25
build linkages between partners in South Africa and India, and further develop research activities
building upon the WRAs. It would be followed by a similar study visit/workshop in South Africa.
to continue to develop linkages with the policy research programme project led by the University
of Leeds that includes components on water management. John Soussan who heads this project, is
also a collaborator in the KaR study.
Water and Sanitation Programme - South Asia (WSP-SA)
Charles Batchelor and Viju James subsequently met Mike Webster from the Water and Sanitation
Programme South Asia (WSP-SA) on 18 January 2001. WSP-SA are currently supporting an
innovative Government of India-funded rural water supply and sanitation project that among other
activities, aims to address problems of resources scarcity through better watershed management.
Under the RGNDWM‟s Accelerated Water and Sanitation Program, 20% of the national funds are
being directed to 58 districts spread all over the country. The funding, which is being disbursed
directly to the districts, is being used to pilot improved WSS procedures (e.g. more demand
responsive approaches, cost recovery, state as a facilitator not a provider, community participation
etc.). In Andhra Pradesh, there are five districts that fall under this program (one funded by the
Dutch?). Two are APRLP districts (i.e. Nalgonda and Prakasam). Both projects/programmes are
using the AP Academy of Rural Development (APARD) as the location of their support offices. A
common feature of both projects/programmes is recognition of the need to protect drinking water
sources.
WSP have subsequently expressed support for the objectives of the research and an interest in
collaboration and utilisation of the research outputs. A letter received from the programme is attached.
The first project activity, that might involve WSP and APRLP staff, is the proposed workshop in AP
during 5-14 May.
26
Dear Sir/ Madam
Re: First announcement of a collaborative workshop on ‘Water Supply & Sanitation and Watershed
Development: positive and negative interactions’ in Andhra Pradesh, India, 5-14 May 2001
As an activity of the Indo-South Africa-UK research project on Water, Households and Rural Livelihoods
(WHIRL)3, a workshop on „Water Supply & Sanitation and Watershed Development: positive and negative
interactions‟ will be held in Andhra Pradesh, India, between 5-14 May 2001. The workshop is arranged as a
series of site visits and discussion sessions, together with seminars to be held in Bellary on 7 May, Kurnool on
10 May and Hyderabad on 14 May.
The research team would like to invite you to attend the whole workshop, or alternatively either of the
seminars in Bellary, Kurnool or Hyderabad. We would also be happy for you to bring this workshop to the
attention of your colleagues implementing RGNDWM projects in AP.
The purpose of the workshop will be to explore water resources issues faced by people in southern Andhra
Pradesh, particularly how these impact on drinking water supplies for the rural and urban poor, and to identify
the potential for watershed development (or catchment management) projects and programmes to address or
compound these problems. It will address the negative consequences of current water use patterns, and
approaches to tackle these problems. Issues that are expected to take prominence include:
impacts of overexploitation of groundwater (for irrigation) on drinking water supplies,
measures to augment water resources and protect domestic supplies,
possible negative impacts of watershed development projects to stimulate water use and increase
overexploitation,
potential for legislative, institutional and practical solutions to improve the allocation, management
(especially demand management) and regulation of water resources.
The workshop will include a number of participants from South Africa, who are involved in parallel research
on similar issues. A number of interesting complementarities exist between the experiences and approaches
being followed to address the water resource problems faced in India and South Africa. In South Africa, new
legal and regulatory frameworks and long experience of effective management of water resources at the
macro-level, provide good examples of how to potentially address similar issues elsewhere. In India,
3
This project is supported by the UK Department for International Development
(DFID) through the Infrastructure and Urban Development Division’s Knowledge
and Research programme. Project R7804 ‘Integrating drinking water needs in
watershed projects’.
Natural Resources Institute
Medway University Campus
Central Avenue, Chatham Maritime
Kent ME4 4TB, United Kingdom
Telephone: +44 (0)1634 883615 (direct)
Fax: +44 (0)1634 883959
Email: j.a.butterworth@greenwich.ac.uk
Internet: http://www.nri.org
strengths in local-level rural development, long experience of watershed development as an approach,
and experiences in scaling-up and replicating success offer rich lessons for poverty alleviation
programmes elsewhere. Sharing lessons across these two different contexts will be an important
thread running through the workshop, and is expected to lead to further south-south linkages and
collaborative research.
The approach taken by the workshop will combine a series of site visits, workshop sessions and
seminars to identify and explore issues and problems faced by poor communities. Visits will include
watershed development project sites, rural and urban water supply and sanitation schemes, and
villages and towns with severe drinking water shortages facilitated by NGOs and development
projects working in these areas. It will involve travelling between Bangalore and Hyderabad over a
period of 10 days, with overnights stops en-route in Bellary, Kurnool (and/or Anantapur). One day
seminars in Bellary and Kurnool will provide an opportunity for a wider range of stakeholders to be
involved at district and state levels. The final day of the workshop will involve a seminar in
Hyderabad with a larger group of participants from Andhra Pradesh and elsewhere in India.
A novel decision-making approach4, that is well suited to the issues faced in promoting sustainable
water resource development will be used throughout the workshop. This will provide a mechanism to
integrate multi-disciplinary thinking, combine quantitative and qualitative data and allow the views of
a wide range of stakeholder to be represented. The output from the workshop will be a dynamic 'map'
that represents the views of the workshop participants and allow key issues and priorities for action to
be identified. These views will be presented by the workshop participants at the Hyderabad seminar.
Provisional workshop itinerary and logistical arrangements
The provisional timetable and itinerary is as follows:
5 May Participants arrive and meet in Bangalore
6 May Travel to Bellary, stopping at watershed development villages en-route
7 May Bellary Seminar
8 May Travel to Kurnool via watershed development sites/ small town water supply schemes
9 May Visits to watersheds and rural water supply schemes in Kurnool and Anantapur
10 May Kurnool Seminar (am) and workshop sessions
11 May Workshop sessions
12 May Travel to Hyderabad by road (via further sites) or rail
13 May Rest day
14 May Hyderabad Seminar (at Viceroy)
The nature of the workshop will be very intensive and will include afternoon and evening sessions on
the days of field visits, as well as considerable travel. Participants will visit a range of field sites in
small groups, with specific tasks to complete. Because of the travel involved, and the tasks to be
completed by workshop participants, it is essential that participants attend either the specially
arranged seminars in Bellary, Kurnool or Hyderabad or for all 10 days.
Logistical arrangements also mean that the workshop will be restricted to invited participants only.
Unless agreed in writing prior to the workshop, it is expected that participating organisations will
meet the costs of travel to attend either the entire workshop or seminars, and the costs of
accommodation and meals. For participants attending the entire workshop, transport between
Bangalore, Bellary, Kurnool and Hyderbad will be provided. Limited support for actual travel,
accommodation and meal costs for invited participants whose organisations are unable to fund
4
The use of Bayesian networks will be facilitated at the workshop by Jeremy Cain (Centre for Ecology and
Hydrology) and Patrick Moriarty (IRC International Water and Sanitation Center). The use of Bayesian
networks for natural resource management has been developed under DFID KaR project R7137, Integrated
planning and management of water resources.
attendance may be available. In these cases, all other expenses must be met by participants.
Accommodation bookings will be made by the workshop organisers.
Participants planning to attend the whole workshop should arrange to arrive in Bangalore on or before
the 5 May and depart from Hyderabad after 1800hrs on 14 May. The times of the seminars in Bellary,
Kurnool and Hyderbad will be confirmed in a second announcement to be sent to all intending
participants before the 30 March.
Warning: May is also the hottest month in this part of India!
Optional activities
In the week following the workshop, and subject to sufficient demand, it may be possible to
optionally arrange either:
Pairing and shadowing between participants from South Africa and India allowing an opportunity
for workshop participants from South Africa to spend several days with counterparts working in
similar contexts e.g. NGO, government etc., to explore in more detail the issues and challenges
faced, and develop south-south collaboration and links.
A short training course in the use of Bayesian networks as a tool for better decision-making in
natural resources management.
Participants are asked to identify interest in either of these options as soon as possible to enable the
necessary arrangements to be made.
Follow-up activities after the workshop
The purpose of the research project is to promote better institutional and operational solutions for
water resources management that lead to improved access of the rural poor to safe water supplies for
drinking and other uses. This 4-year project, funded by the DFID Knowledge and Research (KaR)
programme, is based upon collaborative research in India and South Africa. In South Africa, the
project is working with AWARD (Association for Water and Rural Development), the Department of
Water Affairs and Forestry (DWAF), and in partnership with the „Save the Sand project‟. In India,
activities are focused on Andhra Pradesh working with Accion Fraterna and the Andhra Pradesh Rural
Livelihoods Project (APRLP) with additional research by BAIF Development Research Foundation
underway in other states. The project aims to establish and draw upon south-south linkages, and to
develop, validate and disseminate demand-led guidelines that promote the integration of rural water
supply and sanitation within watershed development programmes. The workshop will contribute to
development of this project, and opportunities for further links and collaboration are expected to arise
from the workshop.
I hope you will be able to attend and look forward to your response (please send this to
j.a.butterworth@gre.ac.uk). As the number of participants will be strictly limited, I should be grateful
if you would reply to this invitation by 1 March at the latest, and making clear which parts of the
workshop you wish to attend.
Yours sincerely,
John Butterworth
(Project Co-ordinator, WHIRL)
OFFICE MEMORANDUM
DATE: August 11, 2011
TO: Dr JA Butterworth
Natural Resources Institute
Central Avenue, Chatham Maritime
Kent ME4 4TB, United Kingdom
FROM: Mike Webster
EXTENSION: 467
SUBJECT: DFID KAR:
Integrating WSS & catchment management:
Promoting access of the poor to secure, safe and sustainable rural water
supplies in areas of water scarcity
Dear Dr John Butterworth
I discussed the potential for the Water and Sanitation Program – South Asia to collaborate
with the above KAR programme with your colleague Charles Batchelor on 18 January 2001
in our Delhi offices. As indicated before, WSP-SA would be interested in such a
collaboration and in the outputs from the research. We realize the need for responsible
Integrated Water Resource Management to be an integral component of drinking water
supply and sanitation projects and would welcome more research in this area. We have a
particular interest in advising the Government of India, and the three states in which we are
working closely (Andhra Pradesh, Kerala and Maharashtra), through the current RWSS
sector reform programme how best to take on some of these principles. We would be
interested in joint dissemination activities and in peer reviewing the process.
Best regards,
Mike Webster
Rural Development Specialist
Water and Sanitation Program – South Asia
Appendix 2 Summary of consultations in South Africa
This appendix includes a summary of follow-up consultations held in February 2001.
AWARD workshop
On the 5 & 6 February 2001, AWARD staff representing a range of disciplines and including field
workers, engineers, social scientists, institutional and environmental specialists met to further develop
the research priorities for the project. Staff present were James Rhoda, Peter Segkobela, Toka
Molapo, Kgopotso Mokgope, Modjadji Letsoalo, Sipho Molambo, Mohammed Wardere, and Derrick
Maesela.
The workshop drew upon the outcomes of the inception workshop, and was facilitated using a
Bayesian Network to grasp the complex interrelationships between livelihoods, water supply and
sanitation, and water resources management in the Sand River Catchment (SRC). Use of this
technique was facilitated by Patrick Moriarty from IRC International Water and Sanitation Center.
The Bayesian network proved by a powerful tool in capturing the views of this group of stakeholders.
Bayesian Network for ‘water-based livelihoods’ in the Sand River Catchment
The Bayesian Network designed by the staff of AWARD to illustrate their understanding of the main
factors influencing people‟s water based livelihoods is attached. The labels at the top of the boxes
(known as nodes) give the name of the factor, the words underneath give the possible states for that
factor. So, for example, the box immediately above „improved livelihoods‟ refers to a factor called
„production‟ which can be either high or low. The arrows on the diagram reflect the direction of
cause and affect so, for example, „Production‟ has an affect on „Improved water based livelihoods‟ not
the other way around.
Starting at the main objective node („Improved water based livelihoods‟) and working backwards
along the chain of cause and affect, it is possible to see how a variety of inter-linked factors
areathought to affect the objective. By using the computer software in which the network was
developed it wss possible to evaluate the relative importance of changes to the states associated with
various factors and groups of factors.
In the reasoning of the AWARD staff who produced the network, water based livelihoods have two
major components: a health related aspect, largely driven by access to „domestic‟ water; and a
production based aspect, driven by a combination of access to „productive‟ water, and an ability to use
it. In the network „production‟ is used as shorthand to represent all household activities in which
water plays a productive role e.g. gardening, making bricks, brewing beer, etc. It includes components
of household food security as well as economic activity. An important assumption that came to light
during the development of the network is that in overall livelihoods, water for productive purposes is
considered to have greater impact than water for domestic purposes. This assumption was viewed as
being so important that it has become a key research focus for the project.
Working back along the chain of logic expressed in the network, access to water for both productive
and domestic use is seen to rely on a combination of the physical resource base, allocation
(„redistribution and equity‟), affordability, and supply infrastructure. Equitable allocation is believed
to be more important than the physical resource base, although the two together need to be assured.
Equitable allocation is seen to rely on enabling national legislation, but perhaps more importantly (at
least from the point of view of AWARD staff) also on effective catchment level institutions.
Affordability has an important negative impact, in that where water is too expensive it acts as an
effective block to improving livelihoods – regardless of what is done in terms of improving allocation
32
or resource availability. Supply infrastructure has a similar role – without a decent infrastructure,
addressing allocation or resource availability issues will be futile.
Looking at the other key control to improving livelihoods through water for production, „ability to use
water productively‟, a complex web of controlling factors can be seen. All of these must be present in
some degree for people to be able to benefit fully from increased access to water. Access to land,
labour, and a sound economic environment (which lumped together issues such as access to credit and
markets) are all crucial, but were felt to be outside the immediate sphere of the project. However
community skills and capacity were also crucial, and here that a clear field for intervention exists.
A final major group of factors affecting livelihoods is health as affected through access to domestic
water. While this was felt to relatively less important than production it nonetheless plays a crucial
role in livelihoods. Here the networks suggests that hygiene awareness and sanitation can play an
effective role in improving health, but ONLY where sufficient water is available.
Neither „Gender‟ nor „Poverty‟ appears directly on the network; this is because they are cross cutting
themes. It was agreed that it is impossible to speak meaningfully of improved livelihoods without
addressing gender and poverty issues. Throughout the network where words like appropriate or
effective are seen it should be assumed that this also means appropriate in terms of gender and
poverty.
33
National Water Act Catch. Man. Institutions Water Services Act Local Government Legisl ...
Effective 50.0 Effective 39.7 Effective 50.0 Effective 50.0
Ineffective 50.0 Ineffective 60.3 Ineffective 50.0 Ineffective 50.0
Physical Environment
Favourable 50.0 Revenue Local Institutions
Unfavourable 50.0
High 50.0 Effective 40.6
Low 50.0 Ineffective 59.4
Climate Appropriate Land Manag ...
Investment
Wet 50.0 True 50.0
High 43.1 Community Institutions
Dry 50.0 False 50.0
Low 56.9
Effective 44.4
Ineffective 55.6
Ownership and Awareness
Sustainable Resource Base Supply Infrastructure
High 45.5
Good 41.2 Functioning 18.8
Low 54.5
Bad 58.8 NonFunctio ... 81.2 Comm. Skills and Capacity
Strong 34.8
Weak 65.2
Technology Management and O&M
Appropriate 50.0 Good 33.9
Inappropriate 50.0 Poor 66.1
Economic environment ( ...
Redistribution and Equity
Good 50.0
Strong 23.1
Poor 50.0
Weak 76.9
Com. acc. to productive ...
Ability to use water prod ... Access to Land
High 17.7
High 17.9 High 50.0
Low 82.3
Low 82.1 Low 50.0
Comm. acc. to domestic ...
High 12.3 Production Health Sanitation
Low 87.7 High 13.5 Good 27.1 Good 50.0
Low 86.5 Poor 72.9 Poor 50.0
Affordability
Affordibility
Improved water based livelihoods
Improved water based liv ... Hospitals, endemic disea ... Hygiene awareness
High 50.0
True 16.8 Good 50.0 High 50.0
Low 50.0
False 83.2 Bad 50.0 Low 50.0
34
Proposed focus themes for research in the Sand River Catchment, South Africa
On the basis of manipulation of the Bayesian Network the following research themes were identified:
Theme 1: Promoting productive uses of water
This was proposed as the major theme for a programme of Participatory Action Research (PAR) in
the Sand River Catchment. The theme will promote the sustainable use of water for productive
purposes from systems or resources that also support domestic water supply. Project activities under
this theme will:
promote the productive use of water and contribute to improved livelihoods through impacts on
food security, and income generating opportunities
complement current WSS efforts that focus on improving health (through providing access to a
basic level of domestic water supply, sanitation and hygiene awareness) by addressing the
potential of productive uses of water to improve the viability of service provision.
meet a need identified in the Save-the-Sand feasibility study to promote research into the
understanding of the water use and economic potential of small-scale economic activities in the
catchment.
address sustainability issues, especially the risks of conflict and inefficiencies through
unsustainable development. The theme will complement project activities in India, where the
overexploitation of groundwater for productive uses by smallholders has had severe negative
impacts on domestic water supply. It is only suggested that only where productive uses of water
play an important role in peoples livelihoods will the incentives for large-scale participation in
catchment management exist.
The theme will address the use of water for productive purposes from systems or resources that also
support domestic water supply. PAR will be carried out with communities and institutions in the SRC.
Communities are to be identified following further consultations and baseline surveys.
Work under theme one is intended to contribute the major part of the project in South Africa. In
addition,a second parallel research theme was also proposed.
Theme 2: Emerging lessons from institutional reform in catchment management in South Africa
This second parallel research theme will concentrate on distilling and disseminating emerging lessons
from pilot integrated catchment management projects and the establishment of catchment
management institutions, focusing on the role of WSS in this process. It will particularly focus on
lessons from the Sand/ Nkomati for other catchments and countries elsewhere including India.
DWAF Mpumulanga
The outcomes of the AWARD workshop, particularly the Bayesian Network and prioritised research
themes were subsequently presented at a meeting in the DWAF Mpumulanga regional office on 7
February 2001 attended by Magda Ligthelm and Nancy ? The focus on promoting productive uses of
water through participatory action research was supported and DWAF would like to be involved and
participate. This should focus on both small-scale irrigators and use of productive use from
reticulation systems, and also address quality issues. Key points arising were:
both the Nkomati and the Olifants are water-stressed catchments and re-allocation to
accommodate new users is a key issue and need, as well as meeting the reserve requirements.
the formation of a water users association in the lower Nkomati that is multi-sectoral and is
broaden than just agricultural users.
35
a previous study on catchment management institutions in the Nkomati by Woodhouse and
Hassan is relevant.
The Nkomati CMA proposal has been submitted and a governing board may be in place in around
9 months. Then CMCs will be formed. A new CM strategy will be drafted shortly.
WSDPs are currently being prepared but only 5% have been submitted in old format. Are trying
to link CM strategies (the startegic plan for water resources) and WSDPs (the strategic plan for
water services), and need to links WSAs abd CMAs.
A socio-economic study focusing on water use in transboundary areas (South Africa,
Mozambique abd Swaziland) by AFRIDEV may be relevant
An MSc study on empowerment of users in the Nkomati has also recently been completed
(Canadian?).
The dense settlements project is looking at water quality problems asscoiated with dense
settlements, and includes work in Acornhoek on waste disposal.
Action research should be prioritised on the basis of socio-economic status of users or potential
users, economic returns, the potential increase in water use and the potential for successful pilot
activities.
Should consider importance of tourism, and also traditional healers in the study areas.
Need to ensure participation of DPLG, DWAF HQ and regional offices as well SSP.
DWAF, Pretoria
A workshop was subsequently held in the DWAF Pretoria office on 9 February 2001. Participants
included DWAF staff in the national offices from catchment management (Eustathia Bofilatos, Azwi
Nelwamondo and Derek Weston) and water services directorates (Sorrious Manele, Maxima
Ranamane, and Sanjay Wijesekera), Washington Tunha from DWAF Northern province, Peter Smith
(DFID Water Sector Field Manager), Minnie Venter-Hildebrand (Mvula Trust), and Anthony Turton
(AWIRU, University of Pretoria).
This workshop was held to discuss the proposed research priorities, the role of DWAF and other
organisations, and a dissemination strategy for the project. John Butterworth (project coordinator -
Natural Resources Institute), James Rhoda (AWARD) and Patrick Moriarty (IRC International Water
and Sanitation Centre - facilitator) presented the findings of earlier consultations held in South Africa
including the Bayesian Network and proposed research themes.
After a stimulating discussion during which many interesting issues were raised, these two themes and
particularly the focus on promoting productive uses of water, were unanimously supported by those
present at the meeting. Some of the key issues arising in the discussion were:
the need for the research to inform policy, particularly as the current legislative, policy and
regulative framework focuses on meeting basic needs, and does not yet adequately address the
role of productive uses of water in the livelihoods of the poor.
the potential for improved cost recovery through implementing a demand responsive approach
that includes meeting the need for water for productive use.
the need to strengthen the ability of rural communities to access allocations for productive
purposes.
the need for the research to link into the development of the catchment management strategy.
Work on this will begin in a couple of months.
the fact that the proposed focus is consistent with the new National Water Management Strategy.
the potential for additional funding to facilitate additional DWAF inputs under DFID-support to
Water Resources Management (for which the timescale of funding is compatible i.e. to March
2004).
the importance of involvement of local-level DWAF staff and local government.
the need for tools, guidelines and other research outputs to be targeted at local government and
other intermediate-level organisations (WSAs, WSPs, CMAs, WUAs etc) as well as training
organisations (such as National Community Water and Sanitation Training Institute).
36
the potential for dissemination using the AWIRU website and possibilities of linking graduate
student research projects to the study.
the ability of the project to contribute to implementation of the key principles of equitable,
efficient and sustainable water use.
the challenge to the project of relating different institutions and planning structures across
catchment management, water services, and rural development.
the need for continued consultations with pilot projects linking development of WSDPs with
catchment management (Northern Cape?), the Mvula Trust pilot project in Kwazulu Natal, and
the Strategic Environmental Assessment Team at DWAF.
Given the strong level of interest and support expressed by DWAF, the following action points were
agreed:
1. To delay competition of the inception report (from 18 February to 16 March 2001 subject to DFID
approval) to provide further time for DWAF to hold internal consultations. These will address the
involvement of DWAF in the research activities, and the need for any additional resources that may
be applied for under DFIDSA support to DWAF (DWAF to prepare a letter of support for the delay to
be sent to DFID as soon as possible)
2. To consult with the Strategic Environmental Assessment team at DWAF (John Butterworth and
Kgopotso Mokgope by 16 February 2001)
3. To discuss the project with the Chief Director and other staff as appropriate in the Northern
Province regional office (John Butterworth and Kgopotso Mokgope as soon as possible)
4. To prepare a draft inception report for circulation within DWAF and to meeting attendees (John
Butterworth by 16 February 2001)
5. To prepare a short summary of the meeting and agreed actions (John Butterworth and Kgopotso
Mokgope by 12 February)
Strategic Environmental Assessment Team, DWAF
John Butterworth, Kgopotso Mokgope and Minnie Venter-Hildebrand (Mvula Trust), subsequently
met members from the Strategic Environment Assessment (SEA) team at DWAF (Mike Warren, Peter
Nelson and Steve Horak) on 12 February 2001. As a result of a pilot SEA project in the Mhlathuze
Catchment (supported by DFID) „water for rural development‟ was identified as a possible „spin-off‟
theme for follow-up work and a draft scoping paper has been prepared by Dirk Versfeld. Proposed
work will focus on the strategic issues relating to the use of water for productive purposes in rural
areas. It was agreed that given the common interests in productive use of water, links should be
maintained between this initiative and proposed research under this project and by Mvula Trust (see
below).
Mvula Trust
The proposed research was also discussed in detail with Minnie Venter-Hildebrand at Mvula Trust.
Mvula are currently involved in a pilot scheme in KwaZulu-Natal to provide higher levels of service
and enhance livelihoods through water use, and are leading the preparation of a proposal to scale up
work on using water for productive purposes and increasing livelihoods. The research outputs from
the WHIRL project are considered important to support this proposed project, which may include
implementation in the neighbouring district. Links will be maintained with these initiatives.
Local government
Consultations have not yet been held with local government, and this is recognised as a priority
activity for the coming weeks. The Sand River Ccatchment falls within the area of the new Eastern
District Council and local government structures are currently in a state of transition with few staff in
place. The new district comprises two municipalities, Bushbuckridge and Drakensburg. The research
37
will be discussed as soon as possible with the Acting Municipal Manager, Bushbuckridge
Municipality and the Acting District Municipal Manager, Eastern District Council. As local
government staff are put in place, the research will seek to work closely with appropriate officers.
38
Appendix 3 Summary of interviews with regional and national
actors in Kenya
This appendix includes a summary of project consultations carried out in Kenya during the period 22-
23 January 2001. In general interviews were informal and unstructured. Interview reports have been
arranged so that general background to the organisation, and to its perception of the water sector (or
its part of the water sector) are presented first. This is followed, under the heading „main issues‟, by
those areas where in the interviewees opinion there was evidence of existing conflict and where new
tools/approaches were needed.
Interview No 1: NETWAS International
Beth Karanja, Head of Training & Isaack Onenga, Deputy Director
The Network for Water and Sanitation International (NETWAS) is a regional resource centre for
training, applied research, networking and information dissemination in the water and sanitation
sector. Training courses regularly attract participants from East, West and Southern Africa.
Issues highlighted were the failure to co-ordinate relevant actors in relation to WSS and WRM, and
lack of an effective framework for IWRM at national or local level. IWRM hasn‟t been a major issue
for the WSS sector until the recent drought that led to water shortages (mainly in urban areas) and
outbreaks of disease such as typhoid (following the return of the rains). In addition there is a general
increase in conflict over water resources in some agro-climatic areas (e.g. between livestock,
irrigation, and domestic uses). Examples cited were:
In Western Kenya, WSS projects in Nandi district using surface water supply sources were
affected by upstream pollution due to poor sanitation practice in an upstream district. In response
the project was expanded to encompass the headwater areas in the neighbouring district, including
improved sanitation.
A shift towards alternative sources in urban and peri-urban areas for example the use of
groundwater by hotels and other businesses in Nairobi due to unreliable PWS.
Increased development of private boreholes for irrigation water in peri-urban areas. In the
absence of controls or incentives to manage water resources there are concerns about falling
groundwater levels. However there is currently no monitoring system of either the resource or
abstractions.
Settlements along pipelines are increasingly demanding a share of the resource flowing through
them, leading to increased pressure on sources supplying cities such as Nairobi.
At national level there is a move towards increased co-ordination between sectors and development of
new water policy, however corruption and inefficiency at high levels may limit such efforts. It was
felt that the concept of IWRM has been on the table for a while, and talked about at these levels, but
with little coming through at the field level. It was felt that other efforts would be better focused at a
district or local level. This is the critical scale anyway. Conflict is often local and a river basin model
assumes a degree of linkage that seldom exists in semi-arid areas.
As a training organisation, NETWAS have identified IWRM as an area of interest for the WSS sector
but feel constrained by a lack of tools and difficulty in identifying clear entry points and roles.
Priorities identified, which should focus on areas with high water demand or genuine resource
shortage/conflict were:
Participatory tools and methodologies for WRM particularly development of platforms for
interaction of different user groups
Tools for resource assessment, identification of management options, and monitoring which can
be used at the „lower levels‟ by projects, NGOs and local government to improve IWRM in the
absence of effective basin or national level management.
39
Tools to help water supply sector actors to take a wider view of water use and integrate productive
uses into their schemes.
In addition to training there is a need for advocacy materials to raise awareness of the need for WRM
in WSS programmes. This should be targeted at all levels of society, and should aim to generate a
genuine grass roots demand for better management of water resources.
Interview No 2: WSP and African Water Resource Management Forum
Piers Cross, Michael Mutale
WSP East and Southern Africa is a regional organisation focussing on policy reform, improved
investment and, increasingly, on information dissemination. WSP has no money of its own but acts as
a facilitator between governments, donors, and other financiers. The East and Southern Africa office
currently concentrates on 6 countries in the region.
The African Water Resource Management Forum (AWRMF) is a new body (est. 1999) hosted by
WSP and currently headed by Mike Mutale. It is mainly concerned with improved networking
between water resource professionals in Africa.
Priorities for the research work suggested by WSP and AWRMF include
Groundwater management and in particular the vulnerability of shallow wells to falling water
tables.
Identification of the proper institutional structures for effective IWRM – one area of particular
interest are „water parliaments‟, that is the democratisation of the allocation and management
process.
Juxtaposition of new structures in relation to strong moves towards decentralisation but with often
week local government
The need to recognise that legal frameworks backed by regulation and enforcement may be more
difficult to establish in some countries than in others
The AWRMF is actively promoting further research in line with the project objectives, and would like
to see the work focus on a few key issues. Both the WSP and the AWRMF will be happy to help
provide an opportunity to disseminate key findings within SSA.
Interview No. 3: Regional Land Managment Unit (RELMA)
Rolf Winberg
RELMA is a SIDA funded initiative that aims to promote networking at a regional level and to pilot
innovative approaches to soil and water conservation and management. As well as an organisation
focussing on soil and water conservation, RELMA are now increasingly involved in catchment
management including projects with a WATSAN focus. Projects include piloting an approach to
catchment and environmental management in Lake Victoria. They co-ordinate a new rainwater
utilisation network in East and Southern Africa which in future will links to similar efforts in India
aimed at holistic use of rainwater in response to a GWP request. They stress the need to focus on
work at lower level with communities.
40
Appendix 4 Summary of interviews with regional and national
actors in Tanzania
This appendix includes a summary of project consultations carried out in Kenya during the period 24-
26 January 2001.
Interview No. 4: NETWAS Tanzania
Eng. Ryubha Magesa, Head
NETWAS Tanzania is a branch of NETWAS International focussed solely on Tanzania. It has been
recently set up (in 1999) and is currently preparing new training programmes which it hopes to
instigate using local expertise as far as possible.
Main issues:
IWRM is an issue in Tanzania in some specific locations including the Pangani basin, where there has
been competition between water for irrigation and domestic use. In addition there has been
considerable conflict between upstream irrigators and downstream hydro-power generation,
exacerbated by the recent drought.
The current focus for domestic water supply is mainly focussed on groundwater, which is sometimes
difficult to find in drier areas.
Previous approaches (including free water) have failed and services deteriorated rather than improved.
New government policy relies on community initiation, including a commitment to contribute at least
5% of capital costs and all O&M costs.
The new approach to RWSS will be demand driven and participatory, identifying need and co-
ordinating with other departments. Where a suitable source exists rural water supplies will be
expanded to deal with livestock and backyard irrigation requirements in addition to domestic.
Current issues of particular relevance for the WSS, and ones where NETWAS intends to become active include:
Cost recovery in WSS - people were used to free water and have low income, WSS as currently
implemented won't necessarily contribute to income therefore raising money for cost recovery is a
serious potential problem
Private sector participation to increase capacity – Tanzania is firmly committed to a withdrawal of
government from service provision, a role that will be taken up by the private sector and
communities themselves
Retraining government staff – as part of its new function Government will act as facilitator and
regulator. Currently staff are trained mainly as technicians, and will need large scale re-training
and capacity building to undertake their new roles.
Interview No. 5: Ministry of Water
Gabriel Lwakabare, Project Co-ordinator, Rural water supply and Sanitation project; Small towns
water supply and sanitation project
The World Bank funded RWSS project is aiming to develop safe and adequate water supplies for
rural areas and small towns. Major urban centres such as Dar es Salaam and regional capitals are not
being dealt with.
In the past community schemes have failed for reasons including source failures (i.e. resource failure)
and the collapse of institutions and facilities surrounding the water supply. To try to tackle these past
failures the RWSS programme is using a DRA based approach. Currently baseline social assessments
41
have been carried out in 3 districts, with an environmental assessment to follow. The programme is
starting in 3 districts, and will add 3 new districts each year.
In rural areas the programme is mainly relying on groundwater – developed using shallow and deep
wells, and is shunning sources that require treatment. However, where the situation is very favourable
the programme may consider small dams. The community has to contribute in cash or kind. As
groundwater is the principal source, the main resource dangers concern pollution and depletion.
The project has recognised the need to protect the water source but does not extend this to whole
basin planning. Rather the local source, where practical, is protected using techniques such as
planting trees, banning farming, and constructing fences. In theory the DRA extends to providing
sources for uses other than domestic – however in practice sources are inadequate for this in 2 out of 3
districts.
In Small towns the project is taking a different approach as due to problems of implementing a
community based approach in such heterogeneous areas. Water user associations and private sector
involvement will be the main approaches tried. In addition there will be an increased focus on
sanitation, particularly appropriate low cost technologies. The programme is currently working in 19
small towns in 6 districts.
Main issues:
In the Kilimanjaro area there is existing competition over access to domestic water, in other areas
there is competition between irrigation and domestic supply. In the Rufiji basin competition is mainly
between downstream hydropower generation and upstream irrigation, due mainly to the design of
hydropower schemes that did not take increasing irrigation demand into account. Currently there are
many problems linked to widespread illegal abstraction and environmental degradation which are
affecting flows.
A new water policy has been developed, that is largely based on a DRA approach. This new policy
envisages a revised role for government, that in turn requires large scale development of new
capacity, particularly at district level. People need to be trained in demand assessment, management,
procurement etc. There is a clear role here for organisations such as NETWAS
While the RWSS project is aware of the World Bank River Basin Management – Small scale
irrigation Improvement (RBM-SIIP) project there is not real co-ordination between the two.
Interview No. 6: Institute of Resource Assessment – University of Dar es Salaam
Prof. Mark Mujwahuzi
In Tanzania there is a theoretical priority in resource allocation and development for
domestic/drinking water, however, in reality considerably greater resources are put into irrigation
(food security) and other (such as hydropower) schemes. New policies focus on energy and food
security by 2025, with hydropower and irrigation respectively being key factors in achieving these
ends.
Within the water sector existing responsibilities are fragmented. There is a need for an integrating
body to implement IWRM, and to avoid currently overlapping fields of authority. The new water
resource policy aims to take a basin approach but key resources (financial and human) are lacking. In
general there is a respect for the ruled of law in Tanzania, and some elements of the necessary
regulation are already in place (such as a system for allocating water rights). As a result both
legislation and policy are reform are areas where it is worth making improvements – in a way that it
may not be in countries where the rule of law is less well established.
42
Main issues
The water supply for Dar es Salaam comes from the Morogoro mountains. Water resources issues
affecting it are mainly to do with siltation and chemical pollution coming from commerical
agriculture (e.g. sisal processing) in the headwaters. In addition there is a growing problem of
contamination from mercury used in from artisanal gold mining.
In addition to these quality issues, there is a general issue of falling quantity available. Per capita
water availability had gone down in urban areas but up in rural (1967-97). This is more to do with
failing infrastructure in urban areas that to do with absolute resource shortage.
Interview No. 7: Ministry of Water – Water Resources Division
Mwakalinga, Senior Hydrologist, River Basin Management
Introduced World Bank supported River Basin Management (RBM) and Small scale Irrigation
Improvement (SSIP) projects which are in their 4th year of operation. The projects aim to strengthen
government capacity to manage water resources using an integrated approach. Currently, there is a
lack of co-ordination, but the projects are reviewing water policy and institutional frameworks with an
aim to improve this in the near future. In addition the projects are helping to rehabilitate the
hydrometric networks in the two pilot basins to provide the necessary data to take management
decisions.
Currently the projects are being piloted in the Pangani and Rufiji river basins. Both basins have a
pattern of irrigation upstream of reservoirs and hydropower plants. A rapid water resource assessment
(WRA) has shown conflict in these basins.
Under current legislation the Principal Water Officer (PWO) – based in Dar es Salaam issues water
rights for large scale abstraction from rivers of national importance, while the Basin Water Officers
(where they exist) licence smaller abstractions from regional water bodies.
Main issues:
On the great Ruaha river (in the Rufiji basin) there is conflict between irrigation, hydropower and
environment. In a story that almost all interviewees mentioned during last year drought it was
necessary to sacrifice 15MW of generation potential in order to ensure that a minimum amount of
water was available for a rare species of toads („spray toads‟).
Perceptions are often as large a problem as reality. A DFID funded study on the upper Ruaha found
that wet season flows were not being adversely affected by irrigation, however they had problems
convincing TANESCO – the national power utility – of this.
In theory a person of community must have a water right to be allowed to take water form a pump or
irrigation „furrow‟. However, in general smallholder irrigators don‟t hold water rights. Currently
efforts are being made to persuade communities in the Kilimanjaro region to accept them, but there is
resistance. Tanzania has a very long history (stretching back into pre-history) of indigenous irrigation,
and people do not understand why they must now pay for a permit for something their ancestors have
always seen as a right. The project is trying to create water users associations as it is not practical to
administer large numbers of small water rights. As part of this policy they are trying to reduce the
overall number of off-take points, so as to facilitate monitoring of those that are left.
In general domestic use is not a problem as regards quantity of resources, and is mainly a supply
issue. Traditionally drinking water is collected from irrigation furrow, and represents a tiny
percentage of the flow in these. However there are some quality problems for example high levels of
fluoride and iron in some areas.
43
Currently stakeholder involvement is limited. The Water Officer is advised by a board of 8 people
(four from government, four from „civil society‟). However the board only has advisory role on
allocation issues. Legally the water officer is therefore powerful, however in reality due to lack of
resources his power is often limited.
Interview No. 8: Ministry of Water – Water Resources Division
Dutingo Luhumbika – Director; Julius Mihayo Assistant Director - Hydrology
Rapid water resources assessment highlighted the importance of competition for water resources in
the Rufiji and Pangani basins. These two basins are the only ones out of Tanzania‟s nine major basins
that currently have a functioning authority, however, the Ministry is trying to extend similar
structures to o other basins including Ruva, which supplies Dar es Salaam.
Main issues
There is a lot of conflict, particularly in Pangani. In both basins problems exist between all uses –
livestock, irrigation, domestic and industry. The Pangani also has a concentration of industry which
uses more water and can be polluting
The water use in these systems is very complicated, and awareness of legislation is low. The projects
work at a basin level, aiming to create awareness of resource management needs and issues from the
bottom up.
Conflict over domestic resource is primarily a local issue. Water is taken in „furrows‟ that tap the
main river and then run for up to 10km through as many as four villages. Conflict revolves around
competing requirements for livestock, domestic, and irrigation within these furrow systems. The
project aims to form water user associations to manage the irrigation furrows, and who will then
interact with the basin board on issues related to overall water consumption.
The intention is that basin water boards should be autonomous and self-financing. However it is
problematic to get people to pay, especially upstream users who have traditionally used the source
anyway. Downstream users are in general more happy to pay, as they see payment as one means to
guarantee supply. In general power and industry are also willing to pay, and it is this part of the
system that is easiest to regulate.
Interview No. 9: Institute of Resource Assessment – University of Dar es Salaam
Prof. James O. Ngana – Co-ordinator Pangani Project
The Pangani project is supported by NORAD and is being carried out in partnership by the University
of Dar es Salaam and the Technical University of Norway. It is mainly looking at land use, water
resources and socio-economics in an integrated way. It is currently concentrating on investigation
conflict, but also needs to start looking at the overall dynamic or land and water management.
The water board in Pangani is making some progress but has many problems to tackle. In particular
people don‟t see logic of paying for water that they‟ve used for hundreds of years. In addition the
board has yet to become truly participatory, and finding mechanisms for the representation and
empowerment of small-scale water users on the board remains a priority.
Main issues:
The main problems and conflicts exist between hydropower and irrigation, and there is no real issue
of domestic water being the cause of conflict. There are some problems in dry areas – where
rainwater harvesting is being looked into.
44
In Tanzania water supply is not being given priority, in many towns including Dar es Salaam the
water supply is disastrous. Most schemes were built in 1970s and have never been revisited or
improved since. This is at least partly due to what used to be government‟s role in supporting all
infrastructure for which it was completely under-resourced
Currently most drinking water is from surface sources, but there is increasing use of groundwater. In
Dar es Salaam the lack of an efficient distribution network is leading to widespread private
development of groundwater, with people resorting to deep and shallow wells, and in some cases
selling the water form their wells. The rapid rise in the use of shallow wells is leading to an increased
risk of groundwater contamination from pit latrines.
45
Appendix 5 Revised logical framework
Narrative summary Measurable indicators Means of verification Important assumptions
Goal:
Improved water Improved provision of safe National data and
resources management water supplies for the sector studies
consumptive and productive
activities of the poor
Purpose: (Pupose to goal)
More effective Uptake reflected in guidelines GoI and RSA policy Favourable political
institutional and for development and documents environment
operational solutions for management of watersheds Project Reports
water resources and WSS in India, S Africa and Consultation
management adopted elsewhere, and tools in use on
that promote improved at least 2 major development
access of the poor to projects by Mar 2005
safe water supplies for
consumptive and
productive use.
Outputs: (Output to purpose)
1. Assessment of Comprehensive review Project reports Governments and
existing mechanisms, in capturing worldwide experience Conference donors continue to
water-stressed areas of best-practice and emerging proceedings invest in participatory
(quantity and quality) approaches (inc. community- Journal papers watershed development
with competition for based management, regulatory projects and rural water
water between multiple approaches, new institutional supply and sanitation,
uses, to promote more structures and economic and are willing to adopt
sustainable and instruments) by May 2001 more integrated
equitable access for the approaches.
poor to water supplies Analysis of policy and Project reports Government measures
for consumptive institutional conditions for progressed to reduce
(drinking and other uptake by May 2001 the negative influences
domestic uses) and of those with vested
productive use (inc. interests in water
small-scale irrigation, shortage.
livestock, SMEs).
2. Key findings from Documented outcomes Project reports on
piloting of approaches (hydrological, institutional, outcomes of pilot case
that integrate water socio-economic) of pilot case studies
supply and sanitation studies focused on poor Conference and
with watershed communities within 2 journal papers
development and watersheds in India and 1 in S
management, and Africa by Mar 2004
synthesis of tested
methodologies. Documentation on piloting of Project reports on
methodologies for site testing of
selection, assessment of methodologies
resources, issues and problems Local draft guidelines
(hydrological, institutional,
socio-economic), participatory
decision-making,
implementation, monitoring and
evaluation by Mar 2004.
Demand assessment in 5 Project reports
countries (inc. S Africa, & India)
and identified uptake pathways
46
by Dec 2000.
3. Demand-led planning Tools and guidelines developed Planning
tools developed, in response to demand, and tools/guidelines
validated and validated in collaboration with (e.g. manual,
disseminated with long-term participatory electronic publication
guidelines for use that watershed development or toolbox)
promote and support, in projects in at least 2
appropriate watersheds in different settings
circumstances, the in India and 1 in S Africa by
integration of water March 2004.
supply and sanitation
with watershed Dissemination of Preliminary and
development and tools/guidelines through continuous
management identified uptake pathways in 5 dissemination through
countries by March 2004 project website
Conference/journal
papers focused on
replication and policy-
level
Activities:
0 Inception activities,
and continued project
management
0.1 Initial project Lead professionals from NRI, Project inception
planning meeting of BAIF and AWARD meet by end report
lead professionals to July 2000
build South-South
collaboration and refine
scope of work
0.2 Stakeholder By Dec 2000, linkages Project inception
assessment, and developed with potential partner report
consultations with key development projects (e.g.
stakeholders in India, S Save the Sand project in S
Africa and other Africa), key stakeholders
targeted countries identified and consulted in S
Africa, India and 3 other
identified target countries in
SSA/Asia, and complementary
activities by others identified
and linkages developed.
0.3 Inception workshop All team members meet by end Project inception
Sep 2000, further activities and report
programme finalised and
agreed by project partners and
key stakeholders/ host
governments.
0.4 Progress meetings Initial meeting by Oct 2000 and Project inception
with DFID further meetings as appropriate report
0.5 Regular progress Summary progress reports Six-monthly progress
reporting, and annual submitted to DFID by end-Mar reports to DFID
reviews and planning and end-Sep
47
meetings
Research findings synthesised Annual project
and reported on annual basis research reports
(end of years 1,2 and 3)
Annual review and planning
documents Project reports
0.6 On-going project Correspondance, financial Files held by NRI, Timely disbursement of
management and records BAIF and AWARD funds to NRI and
monitoring including monthly collaborators
progress reports
1.0 Review and
consultations to identify
intervention options
1.1 Literature search Comprehensive review by May Literature review
and review 2001
1.2 Consultations with Consultations held by May Project reports
with key specialists and 2001
stakeholders
1.3 Workshops 2 workshops held in India and S Workshop reports Policy-makers, key
including representation Africa by Aug 2001 stakeholders and
by policy-makers to specialists willing to
validate findings and attend and participate
identify realistic local actively in workshops.
options
Implementing agencies
2.0 Pilot case-study of development projects
fieldwork (output 2 - are willing to participate
activities replicated in in piloting of new
each watershed) approaches.
2.1 Analysis and Rapid analysis of secondary Project reports Individuals and
consultation to identify and existing project data by communities willing to
watersheds, sites and May 2001 participate in research
target communities and influences of those
(including use of Consultations/workshops with Project reports individuals/ elites with
poverty criteria) and local-level stakeholders leading negative interests in
agree working to identification of sites in 2 promoting water
principles watersheds in India and 1 in S shortages can be
Africa, and agreed working minimised.
principles for collaboration with
existing development projects
by Jul 2001
2.2 Water audits for Analysis by Oct 2001 for Project reports Data readily made
selected watershed - identified watersheds available by government
(e.g. assessment of and other organisations
supplies, demands,
trends etc)
2.3 Other baseline data Analysis by Oct 2001 for Project reports Data readily made
collection and analysis identified watersheds available.
including secondary
(i.e. census data etc)
and primary data
48
(social, economic, bio-
physical)
2.4 Option selection Workshops/ meetings/ Project reports, Individuals and
including participatory consultations/ interviews to including reports of communities willing to
decision-making identify agreed options by Nov meetings participate in research
2001, and piloting process
2.5 Piloting of Implemented of new Project reports
interventions in approaches underway by Mar
collaboration with 2002
RWSS/ watershed
projects
2.6 Monitoring of Monitoring and study to Mar Project reports
outcomes, and 2004
establishment of
sustainable monitoring
mechanisms beyond
project timescale
2.7 Validation of 2 workshops held in S Africa Workshop reports Invitees willing to attend
outcomes and piloting and India by by Jan 2004 and participate activiely
process in workshops
3.0 Development of
planning tools and
guidelines
3.1 Consultations to a) Demand assessed in India, S Project inception
assess demand (needs, Africa and 3 other identified report
constraints, target countries by Dec 2000
opportunities) for more
integrated approaches Uptake pathways in India, S
and for planning tools/ Africa and 3 other target Project inception
guidelines and, b) to countries identified by Dec report
identify possible uptake 2000
pathways
3.2 Draft planning tools/ Initial draft tools/ guidelines Draft guidelines in
guidelines developed developed by Nov 2001 project reports and
by project team, website
through
multidisciplinary review
of best-practice
3.3 Preliminary Draft outputs tested by Oct Project reports and
elements of planning 2003 website
tools/ guidelines tested
in collaboration with on-
going RWSS/
watershed projects
3.4 Planning tools/ Tools/ guidelines modified Updated guidelines in
guidelines modified by throughout piloting phase project reports and
project team website
3.5 Planning tools/ Workshops and consultations Workshop Invitees willing to attend
guidelines validated held by Dec 2003 proceedings and participate actively
49
through workshops and in workshops
consultations with
identified stakeholders
3.6 Planning tools/ Tools/ guidelines finalised by Project reports
guidelines finalised in Jan 2004 Manual, targeted at
response to feedback project implementing
agencies,
incorporating planning
tools and guidelines
Final project report
3.7 Planning tools/ Outputs disseminated by Mar Final project report
guidelines 2004 within S Africa, India and
disseminated and other targeted countries using
promoted using identified uptake pathways
identified uptake
pathways. These may
include presentations at
conferences and
distribution through
electronic media, to
influence policy and
practice
Inputs Performance budget
Personal emoluments £ 227556
Capital costs 3400
Other charges 267039
VAT 87149
Total costs 585145
50
Appendix 6. Revised work plan, staff inputs and locations for
project work
PROJECT TITLE
Integrating drinking water needs in watershed projects
YEAR OF ACTIVITY (eg; 00/01)
00/01
ACTIVITY A M J J A S O N D J F M
1. Inception activities, and continued project
management
1.1 Initial project planning meeting
1.2 Stakeholder assessment and consultations
1.3 Inception workshop
1.4 Progress meetings
1.5 Regular progress reporting
1.6 On-going project management and monitoring
2. Review and consultations to identify intervention
approaches
2.1 Literature search and review
2.2 Consultations
2.3 Workshops
3. Pilot case-study fieldwork
3.1 Analysis and consultation to identify watersheds….
3.2 Water audits
3.3 Other baseline data collection and analysis
3.4 Option selection
3.5 Piloting of interventions
3.6 Monitoring of outcomes
3.7 Validation of outcomes and piloting process
4. Development of planning tools and guidelines
4.1 Consultations to assess demand and identify uptake
pathways
4.2 Draft planning tools/ guidelines developed
4.3 Preliminary elements of planning tools tested
4.4 Planning tools/ guidelines modified
4.5 Planning tools/ guidelines validated through workshops
4.6 Planning tools/ guidelines finalised
4.7 Planning tools/ guidelines disseminated and promoted
51
OVERSEAS TRAVEL DURATION (DAYS)
A M J J A S O N D J F M
By John Butterworth
To India 5 10 10
South Africa 5
Other target countries 10 10
By Sabine Gündel
To India
South Africa
By Jim Hancock
To India 5
South Africa
By Elizabeth Robinson
To India 5
South Africa 5
By Charles Batchelor
To India 5
South Africa
By John Soussan
To India 5
South Africa
By BK Kakade
To NRI, UK
South Africa 5
By YV Malla Reddy
To NRI, UK
South Africa
By AJ James
To NRI, UK
South Africa
By Sharon Pollard
To NRI, UK
India
By Kgopotso Mokgope
To NRI, UK
India
52
PROJECT TITLE
Integrating drinking water needs in watershed projects
YEAR OF ACTIVITY (eg; 00/01)
01/02
ACTIVITY A M J J A S O N D J F M
1. Inception activities, and continued project
management
1.1 Initial project planning meeting
1.2 Stakeholder assessment and consultations
1.3 Inception workshop
1.4 Progress meetings
1.5 Regular progress reporting
1.6 On-going project management and monitoring
2. Review and consultations to identify intervention
approaches
2.1 Literature search and review
2.2 Consultations
2.3 Workshops
3. Pilot case-study fieldwork
3.1 Analysis and consultation to identify watersheds….
3.2 Water audits
3.3 Other baseline data collection and analysis
3.4 Option selection
3.5 Piloting of interventions
3.6 Monitoring of outcomes
3.7 Validation of outcomes and piloting process
4. Development of planning tools and guidelines
4.1 Consultations to assess demand and identify uptake
pathways
4.2 Draft planning tools/ guidelines developed
4.3 Preliminary elements of planning tools tested
4.4 Planning tools/ guidelines modified
4.5 Planning tools/ guidelines validated through workshops
4.6 Planning tools/ guidelines finalised
4.7 Planning tools/ guidelines disseminated and promoted
53
OVERSEAS TRAVEL DURATION (DAYS)
A M J J A S O N D J F M
By John Butterworth
To India 15 15 10
South Africa 15 15 10
By Sabine Gündel
To India
South Africa
By Jim Hancock
To India 10 10
South Africa 10
By Elizabeth Robinson
To India 5 10 10
South Africa 10
By Charles Batchelor
To India 10
South Africa 10 5 5
By John Soussan
To India 10 5
South Africa 5
By BK Kakade
To NRI, UK
South Africa
By YV Malla Reddy
To NRI, UK 5
South Africa 10
By AJ James
To NRI, UK 5
South Africa 10
By Sharon Pollard
To NRI, UK
India 10
By Kgopotso Mokgope
To NRI, UK 5
India 10
54
PROJECT TITLE
Integrating drinking water needs in watershed projects
YEAR OF ACTIVITY (eg; 00/01)
02/03
ACTIVITY A M J J A S O N D J F M
1. Inception activities, and continued project
management
1.1 Initial project planning meeting
1.2 Stakeholder assessment and consultations
1.3 Inception workshop
1.4 Progress meetings
1.5 Regular progress reporting
1.6 On-going project management and monitoring
2. Review and consultations to identify intervention
approaches
2.1 Literature search and review
2.2 Consultations
2.3 Workshops
3. Pilot case-study fieldwork
3.1 Analysis and consultation to identify watersheds….
3.2 Water audits
3.3 Other baseline data collection and analysis
3.4 Option selection
3.5 Piloting of interventions
3.6 Monitoring of outcomes
3.7 Validation of outcomes and piloting process
4. Development of planning tools and guidelines
4.1 Consultations to assess demand and identify uptake
pathways
4.2 Draft planning tools/ guidelines developed
4.3 Preliminary elements of planning tools tested
4.4 Planning tools/ guidelines modified
4.5 Planning tools/ guidelines validated through workshops
4.6 Planning tools/ guidelines finalised
4.7 Planning tools/ guidelines disseminated and promoted
55
OVERSEAS TRAVEL DURATION (DAYS)
A M J J A S O N D J F M
By John Butterworth
To India 20 10 5
South Africa 20 10
By Sabine Gündel
To India
South Africa
By Jim Hancock
To India
South Africa
By Elizabeth Robinson
To India 10
South Africa 10
By Charles Batchelor
To India 10 5
South Africa 10
By John Soussan
To India 10
South Africa 10
By BK Kakade
To NRI, UK
South Africa
By YV Malla Reddy
To NRI, UK
South Africa 10
By AJ James
To NRI, UK
South Africa 10
By Sharon Pollard
To NRI, UK 10
India 5
By Kgopotso Mokgope
To NRI, UK
India 10 5
56
PROJECT TITLE
Integrating drinking water needs in watershed projects
YEAR OF ACTIVITY (eg; 00/01)
03/04
ACTIVITY A M J J A S O N D J F M
1. Inception activities, and continued project
management
1.1 Initial project planning meeting
1.2 Stakeholder assessment and consultations
1.3 Inception workshop
1.4 Progress meetings
1.5 Regular progress reporting
1.6 On-going project management and monitoring
2. Review and consultations to identify intervention
approaches
2.1 Literature search and review
2.2 Consultations
2.3 Workshops
3. Pilot case-study fieldwork
3.1 Analysis and consultation to identify watersheds….
3.2 Water audits
3.3 Other baseline data collection and analysis
3.4 Option selection
3.5 Piloting of interventions
3.6 Monitoring of outcomes
3.7 Validation of outcomes and piloting process
4. Development of planning tools and guidelines
4.1 Consultations to assess demand and identify uptake
pathways
4.2 Draft planning tools/ guidelines developed
4.3 Preliminary elements of planning tools tested
4.4 Planning tools/ guidelines modified
4.5 Planning tools/ guidelines validated through workshops
4.6 Planning tools/ guidelines finalised
4.7 Planning tools/ guidelines disseminated and promoted
57
OVERSEAS TRAVEL DURATION (DAYS)
A M J J A S O N D J F M
By John Butterworth
To India 20 10 5
South Africa 20 10 10 5
By Sabine Gündel
To India
South Africa
By Jim Hancock
To India 5
South Africa 5
By Elizabeth Robinson
To India 10 5
South Africa 10 5
By Charles Batchelor
To India 10 5
South Africa 10
By John Soussan
To India 10
South Africa 10 5
By BK Kakade
To NRI, UK
South Africa
By YV Malla Reddy
To NRI, UK
South Africa 10
By AJ James
To NRI, UK
South Africa 10
By Sharon Pollard
To NRI, UK
India
By Kgopotso Mokgope
To NRI, UK
India 10
58
Water, Households and Rural Livelihoods (WHIRL): Promoting
access of the poor to sustainable water supplies for domestic and
productive uses in areas of water scarcity
A joint Indian, South African and UK research project
Improved access to water supply and sanitation (WSS) is amongst the most
pressing needs of poor people in all developing countries. Domestic water
supplies and environmental sanitation contribute to livelihoods in a wide range of
ways. They are crucial to health and well-being, and can make an important
contribution to food production and income generating activities. The
management of WSS systems also has important effects on the ecosystems that
support livelihoods.
As demand for water rises due to increasing populations, expansion of irrigated
areas, and industrial development, many parts of the developing world face
increasing water scarcity. Continued reliance upon the traditional approaches to
water resources development – such as construction of dams and exploitation of
new aquifers to increase supply – is often no longer an option. Demand
management and improved allocation of existing resources is increasingly
recognised as a more sustainable strategy.
Integrated Water Resources Management
The need for a new approach is reflected in the increasing adoption of Integrated
Water Resources Management (IWRM) principles as a guiding framework.
IWRM embraces the integrated management of land and all aspects of the water
cycle for the sustainable benefit of humans and the environment. In Vision 21 the
water and sanitation community signaled acceptance of the IWRM paradigm
while asserting that access to an essential minimum (quantity and quality) is a
fundamental right. As competing uses of water reduce the availability or quality of
resources, and raise the cost of future provision of water services, it is
increasingly important that the WSS sector play a more active role in IWRM.
Water Resources
Management Ltd
The project India – key focus issues include:
The project will 1. Groundwater management – impacts on drinking water
RDT identify, assess
and promote
supplies of overexploitation of aquifers for irrigation
2. Watershed development potential:
to augment groundwater recharge
innovative
to increase water demands for irrigated cropping
BAIF
institutional and for improved human and social capital to address
operational water allocation issues.
3. Economics - costs and benefits of alternative approaches
strategies to
to overcome water shortages
increase WSS 4. Legislation, regulation and policy relating to IWRM
involvement in objectives.
IWRM.
Action research is being carried out by NGOs and partner organisations in
India and South Africa. There are interesting complementarities and
differences between
South Africa – key focus issues include:
these countries in
relation to addressing 1. Challenges in building efficient institutions
Catchment Management Agencies to
IWRM. The project manage water resources
will promote the Water Service Providers to develop and
sharing of manage water and sanitation services
2. Catchment management & WSS
experiences and
impact of ICM projects on WSS services
approaches to WSS as an entry point for ICM.
stimulate new 3. Promoting productive activities
thinking and to domestic water supplies for small-scale
economic activities (garden irrigation,
develop in-country construction, livestock etc.)
research capacity.
South-south collaboration in the research will be a key component, and will
be facilitated through regular study visits, exchanges and workshops.
The development of partnerships with projects and institutions able to utilise Making contact:
the research findings, pilot innovative approaches and replicate successful
United Kingdom
impacts, is a key feature. In India, the project will work mainly in Andhra
Pradesh in collaboration with on-going participatory watershed development John Butterworth
Natural Resources Institute
Partnerships and WSS projects. In University of Greenwich Kent,
UK
Northern Province, j.a.butterworth@gre.ac.uk
Partnerships have been established with:
South Africa, it will work
‘Save-the-Sand’ Project (SSP) – A pilot ICM/ India
Landcare project in the Sand River Catchment, with integrated
Northern Province, South Africa Y.V. Malla Reddy
catchment management RDT
Andhra Pradesh Rural Livelihoods Project Anantapur
(APRLP) - A watershed development project in (ICM) and rural
Andhra Pradesh
southern Andhra Pradesh, India development projects.
Water and Sanitation Programme South Asia BK Kakade
As well as the action BAIF Development Research
(WSP-SA) supporting WSS projects in Andhra
Foundation
Pradesh, India research in these Pune mdmtc@pn2.vsnl.net.in
IRC International Water and Sanitation locations, the project
Centre’s water supply innovation project South Africa
The project team would also like to hear from other
will give priority to
organisations or individuals interested in the identifying elements Sharon Pollard
research findings, or researchers addressing Association for Water and Rural
similar issues. that are replicable Development (AWARD)
Acornhoek
elsewhere and will seek sharon@award.org.za
to form alliances and
promote dissemination in other countries and regions. This project is supported by the
UK Department for International
Sharing project findings Development (DFID) through
The project will produce papers, guidelines, training and advocacy the Infrastructure and Urban
Development Division’s
materials, to improve integration of WSS issues within programmes Knowledge and Research
programme. Project R7804
incorporating IWRM principles. These will also be disseminated on-line ‘Integrating drinking water
http://www.nri.org/WSS-IWRM needs in watershed projects’.
